Comment Letters

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December 28, 2020

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2020-041, Proposed Rule Change to Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)

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 24, 2020

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2020-038, Proposed Amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities)

November 23, 2020

NASAA Comment Letter to FINRA Regarding Regulatory Notice 20-33, Qualification Exams Rules of Conduct, Registration Requirements, and Eligibility Rules

November 13, 2020

Letter from 30 State Securities Administrators to the SEC Regarding Proposed Federal Broker-Dealer Exemption for Private Placement Finders

November 12, 2020

NASAA Comment Letter to the SEC Regarding File No. S7-13-20, Proposed Conditional Exemption from Broker Registration Requirements for Certain Activities of Finders

October 22, 2020

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

August 6, 2020

NASAA Comment Letter to the Department of Labor, Docket ID EBSA-2020-0003, Improving Investment Advice for Workers & Retirees

July 30, 2020

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2020-020, Proposed Rule Change to Adopt FINRA Rule 3241, Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer

June 30, 2020

NASAA Comment Letter to FINRA Regarding Regulatory Notice 20-05: Continuing Education Program Transformation