Comment Letters
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July 1, 2019
NASAA Comment Letter to FINRA Regarding Regulatory Notice 19-17: Protecting Investors from Misconduct
June 3, 2019
NASAA Comment Letter to New Jersey Bureau of Securities Regarding Fiduciary Duty Rule Proposal
May 13, 2019
NASAA Comment Letter to Federal Trade Commission Regarding FTC Franchise Rule Proposal Revisions
April 25, 2019
NASAA Supplemental Comment Letter to SEC Regarding Proposed Regulation Best Interest and Related Rulemakings, File No. S7-07-18
February 19, 2019
NASAA Comment Letter to SEC Regarding Proposed Regulation Best Interest and Related Rulemakings, File No. S7-07-18
January 30, 2019
NASAA Comment Letter to SEC Division of Corporation Finance Opposing Mandatory Arbitration Shareholder Proposal
November 8, 2018
