Comment Letters
If the comment or correspondence letter you are looking for is not here, please get in touch with us.
November 24, 2020
NASAA Comment Letter on Proposed Amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities)
November 23, 2020
NASAA Comment Letter to FINRA Regarding Qualification Exams Rules of Conduct, Registration Requirements, and Eligibility Rules
November 13, 2020
Letter from 30 State Securities Administrators to SEC Regarding Proposed Federal BD Exemption for Private Placement Finders
November 12, 2020
NASAA Comment Letter to the SEC Regarding Proposed Conditional Exemption from Broker Registration Requirements for Certain Activities of Finders
August 6, 2020
NASAA Comment Letter Opposing Proposed DOL Regulation of Investment Advice Fiduciaries
June 30, 2020
