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.

March 27, 2020

NASAA Comment Letter on SEC Proposal Regarding the Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence

March 18, 2020

NASAA Comment Letter Regarding Proposed Amendments to FINRA Expungement Process

March 16, 2020

NASAA Comment Letter Regarding SEC Accredited Investor Rule Proposal

February 10, 2020

NASAA Comment Letter to the SEC Regarding Proposed Investment Adviser Advertising and Solicitation Rules

February 3, 2020

NASAA Comment Letter to the SEC Regarding Proposed Amendments to the Proxy Solicitation Rules

January 24, 2020

NASAA Comment Letter to FINRA Regarding Regulatory Notice 19-36, Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer

January 7, 2020

NASAA Comment Letter to Massachusetts Regarding State Fiduciary Duty Rule Proposal

December 27, 2019

NASAA Comment Letter to the SEC Regarding Rule 15c2-11 and the “Piggyback” Exception

October 11, 2019

NASAA Comment Letter Regarding SEC Concept Release on Exempt Securities Offerings

October 8, 2019

NASAA Comment Letter to FINRA Regarding Regulatory Notice 19-27, Seniors Retrospective Rule Review