Comment Letters

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November 25, 2022

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-019, Residential Supervisory Location

October 12, 2022

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-015, FINRA BrokerCheck Disclosure to Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm

October 11, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-22-22, Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

September 12, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-20-22, Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8

September 6, 2022

NASAA Comment Letter to the SEC Regarding File No. SR FINRA 2022-024, Proposed Revisions to the Expungement Process

August 23, 2022

NASAA Comment Letter to the SEC Regarding File No. SR FINRA 2022-019 and SR FINRA 2022-021, Remote Inspections Pilot Program and Residential Supervisory Location

August 16, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-16-22, Fund Names and Investment Company/Investment Adviser Disclosure About Their Use of ESG Factors

August 8, 2022

NASAA Comment Letter to the Department of Treasury Regarding Executive Order No. 14067, Ensuring Responsible Development of Digital Assets

June 13, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-13-22, Special Purpose Acquisition Companies, Shell Companies, and Projections

May 16, 2022

NASAA Comment Letter to FINRA Regarding Regulatory Notice 22-09, Accelerated Processing of Arbitration Proceedings