Comment Letters

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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

June 1, 2020

NASAA Comment Letter to the SEC Regarding File No. S7-05-20, Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets

April 28, 2020

NASAA Comment Letter to the SEC Regarding File No. S7-01-20, Proposed Regulation S-K Amendments

March 27, 2020

NASAA Comment Letter to the SEC Regarding File No. S7-24-15, Proposal Regarding the Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence

March 18, 2020

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2020-005, Proposed Amendments to Expungement Process