Comment Letters

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September 28, 2026

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2026-018, Proposed Amendments to Rules on Financial Exploitation and Customer Account Information and New Rule on Temporary Delays for Suspected Fraud

September 25, 2026

NASAA Comment Letter to FINRA Regarding Regulatory Notice 26-15: Best Execution

September 21, 2026

NASAA Comment Letter to the SEC Regarding File No. S7-2026-25, Proposed Regulation E-Delivery

September 18, 2026

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2026-017, Proposed Amendments to FINRA Rules Regarding Arbitrator Selection

September 11, 2026

NASAA Comment Letter to FINRA Regarding Regulatory Notice 26-14: Communications with the Public

July 27, 2026

NASAA Comment Letter to the SEC Regarding File No. S7-2026-17, Registered Offering Reform

July 20, 2026

NASAA Comment Letter to the SEC Regarding File No. S7-2026-18, Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies.

July 6, 2026

NASAA Comment Letter to the SEC Regarding File No. S7-2026-15, Semiannual Reporting

June 1, 2026

NASAA Comment Letter to the DOL Regarding Fiduciary Duties in Selecting Designated Investment Alternatives

May 18, 2026

NASAA Comment Letter to the SEC Regarding File No. S7-2026-08, Publication or Submission of Quotations Without Specified Information

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