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Comment Letters

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Topic
Year
February 10, 2020

NASAA Comment Letter to the SEC Regarding Proposed Investment Adviser Advertising and Solicitation Rules

February 3, 2020

NASAA Comment Letter to the SEC Regarding Proposed Amendments to the Proxy Solicitation Rules

January 24, 2020

NASAA Comment Letter to FINRA Regarding Regulatory Notice 19-36, Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer

January 7, 2020

NASAA Comment Letter to Massachusetts Regarding State Fiduciary Duty Rule Proposal

December 27, 2019

NASAA Comment Letter to the SEC Regarding Rule 15c2-11 and the “Piggyback” Exception

October 11, 2019

NASAA Comment Letter Regarding SEC Concept Release on Exempt Securities Offerings

October 8, 2019

NASAA Comment Letter to FINRA Regarding Regulatory Notice 19-27, Seniors Retrospective Rule Review

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