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Comment Letters

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Topic
Year
April 1, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-21-21, Share Repurchase Disclosure Proposal

February 14, 2022

NASAA Comment Letter to FINRA Regarding Regulatory Notice 21-43, Prohibition on Borrowing from or Lending to Customers

December 27, 2021

NASAA Comment Letter to the SEC Regarding File No. S7-17-21, Proxy Voting Advice

December 13, 2021

NASAA Comment Letter to the Department of Labor Regarding RIN 1210-AC03, Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights

December 6, 2021

NASAA Comment Letter to FINRA Regarding Regulatory Notice 21-35, Routing Disclosures for OTC Equity Securities

October 1, 2021

NASAA Comment Letter to the SEC Regarding File No. S7-10-21, Digital Engagement Practices and Investment Adviser Use of Technology

September 30, 2021

NASAA Comment Letter to FINRA Regarding Regulatory Notice 21-19, Short Sales

July 14, 2021

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2021-015, Registration and Continuing Education Requirements

June 28, 2021

NASAA Comment Letter to FINRA Regarding Regulatory Notice 21-17, Supporting Diversity and Inclusion in the Broker-Dealer Industry

June 18, 2021

NASAA Comment Letter to the SEC Regarding Climate Change Disclosures





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