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Comment Letters

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Topic
Year
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

July 14, 2017

NASAA Comment Letter to FINRA Regarding Capital Formation and Corporation Financing Rules

June 29, 2017

NASAA Comment Letter to FINRA Regarding Outside Business Activities and Private Securities Transaction Rules

June 19, 2017

NASAA Comment Letter Regarding FINRA’s Request for Comments About Potential Enhancements to its Engagement Programs

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