Comment Letters

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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