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Comment Letters

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Topic
Year
January 4, 2021

NASAA Comment Letter to SEC Regarding Proposed Amendments to Mutual Fund Disclosure Standards

December 28, 2020

NASAA Comment Letter Regarding Rroposed Rule Change to Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)

December 8, 2020

NASAA Comment Letter on Notice 20-34: Senior Investors – Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Report

November 24, 2020

NASAA Comment Letter on Proposed Amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities)

November 23, 2020

NASAA Comment Letter to FINRA Regarding Qualification Exams Rules of Conduct, Registration Requirements, and Eligibility Rules

November 13, 2020

Letter from 30 State Securities Administrators to SEC Regarding Proposed Federal BD Exemption for Private Placement Finders

November 12, 2020

NASAA Comment Letter to the SEC Regarding Proposed Conditional Exemption from Broker Registration Requirements for Certain Activities of Finders

October 22, 2020

NASAA Comment Letter to the SEC regarding FINRA’s 2020-030 Expungement Proposal

August 6, 2020

NASAA Comment Letter Opposing Proposed DOL Regulation of Investment Advice Fiduciaries

July 31, 2020

NASAA Letter to the SEC Regarding Proposed Rule Change to Adopt FINRA Rule 3241