Comment Letters
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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
January 18, 2021
NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2020-030, Proposed Revisions to the Expungement Process
January 4, 2021
NASAA Comment Letter to the SEC Regarding File No. S7-09-20, Proposed Amendments to Mutual Fund Disclosure Standards
December 8, 2020
NASAA Comment Letter to FINRA Regarding Regulatory Notice 20-34, Senior Investors – Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Report
November 23, 2020