Comment Letters
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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
