Comment Letters
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February 12, 2024
NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2024-001, Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers)
January 2, 2024
NASAA Comment Letter to the DOL Regarding Retirement Security Rule: Definition of an Investment Advice Fiduciary
November 13, 2023
NASAA Comment Letter Regarding PCAOB Rulemaking No. 053, Liability for Associated Persons who Contribute to a Primary PCAOB Rule Violation
September 29, 2023
NASAA Comment Letter to the SEC Regarding File. No. S7-13-23, Exemptions for Certain Internet Investment Advisers.
September 11, 2023
NASAA Comment Letter to the SEC Regarding Proposed Enhancements to the Broker-Dealer Customer Protection Rule S7-11-23
August 29, 2023