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Comment Letters

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Topic
Year
October 7, 2021

NASAA Comment Letter to SEC Regarding Digital Engagement Practices and Investment Adviser Use of Technology

October 1, 2021

NASAA Comment Letter to FINRA Supporting Increased Short Interest Disclosure

July 14, 2021

NASAA Comment Letter to FINRA to amend FINRA Rules 1210 and 1240 Which Focused on Continuing Education Programs

June 28, 2021

NASAA Comment Letter to FINRA Supporting Diversity and Inclusion in the Broker-Dealer Industry

June 18, 2021

NASAA Comment Letter to SEC Regarding Climate Change Disclosures

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

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