Comment Letters
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March 17, 2021
NASAA Comment Letter to SEC Regarding Rule 144 Amendments
February 23, 2021
NASAA Comment Letter Regarding FINRA Regulatory Notice 20-42: Retrospective Rule Review – Lessons from the COVID-19 Pandemic
January 28, 2021
NASAA Additional Comment Letter to SEC Regarding File Number SR-FINRA-2020-030: Proposed Revisions to the Expungement Process
January 4, 2021
NASAA Comment Letter to SEC Regarding Proposed Amendments to Mutual Fund Disclosure Standards
December 8, 2020
NASAA Comment Letter on Notice 20-34: Senior Investors – Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Report
November 24, 2020