Comment Letters

If the comment or correspondence letter you are looking for is not here, please get in touch with us.

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


June 8, 2023

NASAA Comment Letter to the Federal Trade Commission Regarding Request for Information: Solicitation for Public Comments on Provisions of Franchise Agreements and Franchisor Business Practices, Docket ID FTC-2023-0026


May 25, 2023

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


May 22, 2023

NASAA Comment Letter to the SEC Regarding File Nos. S7-05-23, S7-06-23, S7-04-22: Regulation S-P and Cybersecurity Risk Management Proposals


May 8, 2023

NASAA Comment Letter to the SEC Regarding File No. S7-04-23: Safeguarding Advisory Client Assets






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