Comment Letters

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May 9, 2022

NASAA Comment Letter to FINRA Regarding Regulatory Notice 22-08, Complex Products and Options

May 9, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-09-22, Public Company Cybersecurity Risk Management Disclosures

April 25, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-03-22, Proposed Rules for Private Fund Advisers

April 11, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-04-22, Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies and Business Development Companies

April 1, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-20-21, SEC Rule 10b5-1 and Insider Trading Proposal

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