Comment Letters
If the comment or correspondence letter you are looking for is not here, please get in touch with us.
November 19, 2015
NASAA Letter to SEC Regarding Filing of a Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 5418
November 3, 2015
NASAA Letter to FinCEN Regarding Anti-Money Laundering Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers
October 5, 2015
NASAA Letter to the Department of Labor Regarding its Proposed Rulemaking Defining the Term “Fiduciary”
September 30, 2015
NASAA Comment Letter to the U.S. Department of Treasury on Expanding Access to Credit Through Online Marketplace Lending.
September 24, 2015
NASAA Letter to the Department of Labor Regarding its Proposed Rulemaking Defining the Term “Fiduciary”
August 31, 2015
NASAA Comment Letter to FINRA Dispute Resolution Task Force on Expungement of Matters from Central Registration Depository (“CRD”)
August 11, 2015
NASAA Comment Letter to SEC Regarding Amendments to Form ADV and Investment Advisers Act Rules; Release No. IA-4091; File No. S7-09-15
Washington, DC 20002
