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Comment Letters

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

Topic
Year
May 9, 2022

NASAA Comment Letter Regarding FINRA Reg. Notice 22-08

May 9, 2022

NASAA Comment Letter Regarding Public Company Cybersecurity Risk Management Disclosures

April 25, 2022

NASAA Comment Letter Regarding Proposed Rules for Private Fund Advisers

April 11, 2022

NASAA Comment Letter Regarding SEC Release No. 33-11028

April 1, 2022

NASAA Comment Letter Regarding SEC Rule 10b5-1 and Insider Trading Proposal

April 1, 2022

NASAA Comment Letter Regarding SEC Share Repurchase Disclosure Proposal

February 14, 2022

NASAA Comment Letter re FINRA Reg. Notice 21-43

December 27, 2021

NASAA Comment Letter to the SEC in Support of Proposed Amendments to the Proxy Solicitation Rules

December 13, 2021

NASAA Comment Letter to Department of Labor Supporting ESG Rule Proposal

December 10, 2021

NASAA Comment Letter to FINRA Regarding FINRA Reg. Notice 21-35 – Proposed Order Routing Disclosures for OTC Equity Securities

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