Comment Letters
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December 27, 2019
NASAA Comment Letter to the SEC Regarding Rule 15c2-11 and the “Piggyback” Exception
October 8, 2019
NASAA Comment Letter to FINRA Regarding Regulatory Notice 19-27, Seniors Retrospective Rule Review
August 9, 2019
NASAA letter to Virginia Corporation Commission supporting proposed regulations prepared by the Virginia Division of Securities.
July 26, 2019
NASAA Comment Letter to Massachusetts Securities Division Regarding Fiduciary Duty Preliminary Rule Proposal
July 1, 2019
NASAA Comment Letter to FINRA Regarding Regulatory Notice 19-17: Protecting Investors from Misconduct
June 3, 2019
