Comment Letters
If the comment or correspondence letter you are looking for is not here, please get in touch with us.
June 19, 2017
NASAA Comment Letter Regarding FINRA’s Request for Comments About Potential Enhancements to its Engagement Programs
March 24, 2017
NASAA Comment Letter to FINRA Regarding Regulatory Notice 17-06: Communications with the Public
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