Home > Policy > Regulatory Policy > Comment Letters

Comment Letters

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

December 16, 2022

NASAA Comment Letter to SBA Regarding Affiliation and Lending Criteria for the SBA Business Loan Programs 13 C.F.R. Parts 120 and 121

December 7, 2022

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-021, Remote Inspections Pilot Program

December 7, 2022

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-024, Proposed Revisions to the Expungement Process

November 25, 2022

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-019, Residential Supervisory Location

October 12, 2022

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-015, FINRA BrokerCheck Disclosure to Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm

October 11, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-22-22, Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

September 12, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-20-22, Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8

September 6, 2022

NASAA Comment Letter to the SEC Regarding File No. SR FINRA 2022-024, Proposed Revisions to the Expungement Process

August 23, 2022

NASAA Comment Letter to the SEC Regarding File No. SR FINRA 2022-019 and SR FINRA 2022-021, Remote Inspections Pilot Program and Residential Supervisory Location

August 16, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-16-22, Fund Names and Investment Company/Investment Adviser Disclosure About Their Use of ESG Factors