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Comment Letters

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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

October 22, 2020

NASAA Comment Letter to the SEC regarding FINRA’s 2020-030 Expungement Proposal

August 6, 2020

NASAA Comment Letter Opposing Proposed DOL Regulation of Investment Advice Fiduciaries

July 31, 2020

NASAA Letter to the SEC Regarding Proposed Rule Change to Adopt FINRA Rule 3241

June 30, 2020

NASAA Letter to FINRA Regarding Regulatory Notice 20-05: Continuing Education Program Transformation

June 1, 2020

NASAA Comment Letter in Response to SEC Proposal on Harmonization of the Exempt Securities Offering Framework

April 28, 2020

NASAA Comment Letter to SEC Regarding Proposed Regulation S-K Amendments