Comment Letters
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December 27, 2021
NASAA Comment Letter to the SEC in Support of Proposed Amendments to the Proxy Solicitation Rules
December 13, 2021
NASAA Comment Letter to Department of Labor Supporting ESG Rule Proposal
December 10, 2021
NASAA Comment Letter to FINRA Regarding FINRA Reg. Notice 21-35 – Proposed Order Routing Disclosures for OTC Equity Securities
October 7, 2021
NASAA Comment Letter to SEC Regarding Digital Engagement Practices and Investment Adviser Use of Technology
July 14, 2021
NASAA Comment Letter to FINRA to amend FINRA Rules 1210 and 1240 Which Focused on Continuing Education Programs
June 28, 2021
NASAA Comment Letter to FINRA Supporting Diversity and Inclusion in the Broker-Dealer Industry
March 17, 2021
