Comment Letters
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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
Letter from 30 State Securities Administrators to SEC Regarding Proposed Federal BD Exemption for Private Placement Finders
November 12, 2020
