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.

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

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