Comment Letters
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January 28, 2021
NASAA Additional Comment Letter to SEC Regarding File Number SR-FINRA-2020-030: Proposed Revisions to the Expungement Process
January 4, 2021
NASAA Comment Letter to SEC Regarding Proposed Amendments to Mutual Fund Disclosure Standards
December 8, 2020
NASAA Comment Letter on Notice 20-34: Senior Investors – Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Report
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
