Comment Letters

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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

March 17, 2021

NASAA Comment Letter to the SEC Regarding File No. S7-24-20, Rule 144 Amendments

February 23, 2021

NASAA Comment Letter to FINRA Regarding Regulatory Notice 20-42, Retrospective Rule Review – Lessons from the COVID-19 Pandemic

January 28, 2021

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2020-030: Proposed Revisions to the Expungement Process