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Comment Letters

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April 12, 2024

NASAA Comment Letter Regarding FINCEN-2024-0006, Anti-Money Laundering Proposal for SEC Investment Advisers

April 3, 2024

NASAA Comment Letter Regarding PCAOB Rulemaking No. 054 False or Misleading Statements Concerning PCAOB Registration and Oversight

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

October 10, 2023

NASAA Comment Letter to the SEC Regarding File No. S7-12-23, Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

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

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2023-007: Remote Inspections Pilot Program

July 26, 2023

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2023-006: Residential Supervisory Location