Comment Letters

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January 30, 2019

NASAA Comment Letter to SEC Division of Corporation Finance Opposing Mandatory Arbitration Shareholder Proposal

November 8, 2018

NASAA Comment Letter to FINRA Regarding Regulatory Notice 18-26 – Continuing Education Program

August 23, 2018

NASAA Comment Letter to SEC Regarding Proposed Regulation Best Interest and Related Rulemakings, File No. S7-07-18

August 7, 2018

NASAA Initial Comment Letter to SEC Regarding Proposed Regulation Best Interest and Related Rulemakings, File No. S7-07-18

August 1, 2018

NASAA Comment Letter to FINRA Regarding Regulatory Notice 18-16: High-risk Brokers

June 12, 2018

NASAA Comment Letter to FINRA Regarding Regulatory Notice 18-13 – Quantitative Suitability

April 27, 2018

NASAA Comment Letter to FINRA Regarding Regulatory Notice 18-08 – Outside Business Activities & Private Securities Transactions

April 9, 2018

NASAA Comment Letter to FINRA Regarding Regulatory Notice 18-06: Membership Application Program – Proposed Amendments to Incentivize Payment of Arbitration Awards

February 5, 2018

NASAA Comment Letter to FINRA Regarding Regulatory Notice – 17-42, Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information

December 20, 2017

NASAA Comment Letter to FINRA Regarding Regulatory Notice 17-33, Arbitration Procedures