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Comment Letters

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May 25, 2023

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2023-007: Remote Inspections Pilot Program

May 22, 2023

NASAA Comment Letter to the SEC Regarding File Nos. S7-05-23, S7-06-23, S7-04-22: Regulation S-P and Cybersecurity Risk Management Proposals

May 8, 2023

NASAA Comment Letter to the SEC Regarding File No. S7-04-23: Safeguarding Advisory Client Assets

April 27, 2023

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2023-006, Residential Supervisory Location

April 18, 2023

NASAA Comment Letter to Federal Trade Commission Regarding Matter No. 201200, Non-Compete Clause Rulemaking

March 31, 2023

NASAA Comment Letter to the SEC Regarding File Nos. S7-29-22, S7-30-22, S7-31-22 and S7-32-22 Related to Regulation Best Execution and Other Market Structure Proposals

March 7, 2023

NASAA Comment Letter to the SEC Regarding Private Market Reforms

March 3, 2023

NASAA Comment Letter to the OSTP Regarding Request for Information: Digital Assets Research and Development

January 12, 2023

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-021, Remote Inspections Pilot Program

December 28, 2022

NASAA Comment Letter to the SEC Regarding File. No. S7-25-22, Outsourcing by Investment Advisers