image showcase

Comment Letters

If the comment or correspondence letter you are looking for is not here, please get in touch with us.

Topic
Year
September 23, 2022

NASAA Comment Letter Regarding SEC Release No. 34-95267

September 7, 2022

NASAA Comment Letter Regarding SR FINRA 2022-024

August 23, 2022

NASAA Comment Letter Regarding SR FINRA 2022-019 and SR FINRA 2022-021

August 16, 2022

NASAA Comment Letter Regarding Fund Names and Investment Company/Investment Adviser Disclosure About Their Use of ESG Factors

August 8, 2022

NASAA Comment Letter to the Office of Financial Institutions Policy Regarding Executive Order No. 14067

June 16, 2022

NASAA Comment Letter Regarding SEC Release No. 33-11048

May 18, 2022

NASAA Comment Letter Regarding FINRA Regulatory Notice 22-09

May 9, 2022

NASAA Comment Letter Regarding FINRA Reg. Notice 22-08

May 9, 2022

NASAA Comment Letter Regarding Public Company Cybersecurity Risk Management Disclosures

April 25, 2022

NASAA Comment Letter Regarding Proposed Rules for Private Fund Advisers