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Comment Letters

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Topic
Year
January 12, 2023

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-021, Remote Inspections Pilot Program

December 28, 2022

NASAA Comment Letter to the SEC Regarding File. No. S7-25-22, Outsourcing by Investment Advisers

December 16, 2022

NASAA Comment Letter to SBA Regarding Affiliation and Lending Criteria for the SBA Business Loan Programs 13 C.F.R. Parts 120 and 121

December 7, 2022

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-021, Remote Inspections Pilot Program

December 7, 2022

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-024, Proposed Revisions to the Expungement Process

November 25, 2022

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-019, Residential Supervisory Location

October 12, 2022

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-015, FINRA BrokerCheck Disclosure to Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm

October 11, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-22-22, Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

September 12, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-20-22, Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8

September 6, 2022

NASAA Comment Letter to the SEC Regarding File No. SR FINRA 2022-024, Proposed Revisions to the Expungement Process

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