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Comment Letters

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Topic
Year
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 18, 2021

NASAA Comment Letter to FINRA Regarding SR-FINRA-2020-030 Amendment No. 1

January 4, 2021

NASAA Comment Letter to SEC Regarding Proposed Amendments to Mutual Fund Disclosure Standards

December 28, 2020

NASAA Comment Letter Regarding Rroposed Rule Change to Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)

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

NASAA Comment Letter on Proposed Amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities)

November 23, 2020

NASAA Comment Letter to FINRA Regarding Qualification Exams Rules of Conduct, Registration Requirements, and Eligibility Rules

November 13, 2020

Letter from 30 State Securities Administrators to SEC Regarding Proposed Federal BD Exemption for Private Placement Finders