Comment Letters

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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

May 15, 2026

NASAA Comment Letter to the PCAOB Regarding the PCAOB’s Next Strategic Plan

May 13, 2026

NASAA Comment Letter to FINRA Regarding Social Media – Influenced Investing Report

May 1, 2026

NASAA Comment Letter to FINRA Regarding Regulatory Notice 26-06: Arbitration

March 18, 2026

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2026-004, Proposed Amendments to FINRA Rule 2210

March 10, 2026

NASAA Comment Letter to FINRA Regarding Regulatory Notice 26-02, Rule Revisions to Help Member Firms Protect Senior Investors From Financial Exploitation and All Investors From Fraud.

February 24, 2026

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2026-001, Proposed Rule Change to Adopt Rule 3290 (Outside Activities Requirements).

February 4, 2026

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2025-017, Proposed Changes to FINRA’s Day Trading Margin Requirements

July 14, 2025

NASAA Comment Letter to FINRA Regarding Regulatory Notice 25-07: Supporting Modern Member Workplaces.

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