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Comment Letters

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Topic
Year
August 9, 2019

NASAA letter to Virginia Corporation Commission supporting proposed regulations prepared by the Virginia Division of Securities.

July 26, 2019

NASAA Comment Letter to Massachusetts Securities Division Regarding Fiduciary Duty Preliminary Rule Proposal

July 1, 2019

NASAA Comment Letter to FINRA Regarding Regulatory Notice 19-17: Protecting Investors from Misconduct

June 3, 2019

NASAA Comment Letter to New Jersey Bureau of Securities Regarding Fiduciary Duty Rule Proposal

May 13, 2019

NASAA Comment Letter to Federal Trade Commission Regarding FTC Franchise Rule Proposal Revisions

April 25, 2019

NASAA Supplemental Comment Letter to SEC Regarding Proposed Regulation Best Interest and Related Rulemakings, File No. S7-07-18

November 8, 2018

NASAA Comment Letter to FINRA Regarding Regulatory Notice 18-26 – Continuing Education Program

August 23, 2018

NASAA Comment Letter to SEC Regarding Proposed Regulation Best Interest and Related Rulemakings, File No. S7-07-18

August 7, 2018

NASAA Initial Comment Letter to SEC Regarding Proposed Regulation Best Interest and Related Rulemakings, File No. S7-07-18

August 1, 2018

NASAA Comment Letter to FINRA Regarding Regulatory Notice 18-16: High-risk Brokers