Comment Letters
If the comment or correspondence letter you are looking for is not here, please get in touch with us.
August 23, 2018
NASAA Comment Letter to SEC Regarding Proposed Regulation Best Interest and Related Rulemakings, File No. S7-07-18
August 7, 2018
NASAA Initial Comment Letter to SEC Regarding Proposed Regulation Best Interest and Related Rulemakings, File No. S7-07-18
June 12, 2018
NASAA Comment Letter to FINRA Regarding Regulatory Notice 18-13 – Quantitative Suitability
April 27, 2018
NASAA Comment Letter to FINRA Regarding Regulatory Notice 18-08 – Outside Business Activities & Private Securities Transactions
December 20, 2017