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Comment Letters

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Topic
Year
March 7, 2019

NASAA Comment Letter to the Nevada Division of Securities Regarding its Draft Regulations in Response to Nevada Senate Bill No. 383

February 19, 2019

NASAA Comment Letter to SEC Regarding Proposed Regulation Best Interest and Related Rulemakings, File No. S7-07-18

January 30, 2019

NASAA Comment Letter to SEC Division of Corporation Finance Opposing Mandatory Arbitration Shareholder Proposal

November 8, 2018

NASAA Comment Letter to FINRA Regarding Regulatory Notice 18-26 – Continuing Education Program

August 23, 2018

NASAA Comment Letter to SEC Regarding Proposed Regulation Best Interest and Related Rulemakings, File No. S7-07-18

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