Comment Letters

Home > Policy > Regulatory Policy > Comment Letters

If the comment or correspondence letter you are looking for is not here, please get in touch with us.

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

March 16, 2020

NASAA Comment Letter to the SEC Regarding File No. S7-25-19, SEC Accredited Investor Rule Proposal

February 10, 2020

NASAA Comment Letter to the SEC Regarding File No. S7-21-19, Proposed Investment Adviser Advertising and Solicitation Rules

February 3, 2020

NASAA Comment Letter to the SEC Regarding File Nos. S7-22-19 and S7-23-19, Proposed Amendments to the Proxy Solicitation Rules