Comment Letters

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June 19, 2017

NASAA Comment Letter Regarding FINRA’s Request for Comments About Potential Enhancements to its Engagement Programs

May 1, 2017

NASAA Comment Letter Regarding FINRA Proposal to Restructure Representative-Level Qualification Exams and Amend Continuing Education Requirements

March 24, 2017

NASAA Comment Letter to FINRA Regarding Regulatory Notice 17-06: Communications with the Public

March 16, 2017

NASAA Comment Letter to Department of Labor Regarding the Proposed Extension of Applicability of the Department’s Conflict of Interest Rule and Related Rulemakings

November 28, 2016

NASAA Comment to the SEC Regarding FINRA Release No. 34-79215; File No. SR-FINRA-2016-039, entitled Notice of Filing of a Proposed Rule Change to Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults)

November 16, 2016

NASAA Comment to the SEC Regarding NYSE MKT Rule Proposal to Amend Form U5 Filing Deadline

September 30, 2016

NASAA Comments on FINRA Regulatory Notice 16-29: Gifts, Gratuities and Non-Cash Compensation Rules

September 23, 2016

NASAA Comment Letter to the SEC Regarding Investment Adviser Business Continuity and Transition Plans Rule Proposal

August 3, 2016

NASAA Comment to the SEC Regarding NYSE MKT Rule Proposal to Amend Form U5 Filing Deadline

May 25, 2016

NASAA Comment Letter to the SEC Regarding File 4-692; SEC’s “Report on the Review of the Definition of ‘Accredited Investor’”