Comment Letters
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January 15, 2016
NASAA Comment to SEC Regarding FINRA Proposed Rule Change to Adopt the Capital Acquisition Broker Rules
January 11, 2016
NASAA Comment Letter to SEC Regarding Proposed Rule Amendments to Facilitate Intrastate and Regional Securities Offerings
November 30, 2015
NASAA Letter to FINRA Regarding FINRA Regulatory Notice 15-37, Financial Exploitation of Seniors and Other Vulnerable Adults
November 19, 2015
NASAA Letter to SEC Regarding Filing of a Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 5418
November 3, 2015
NASAA Letter to FinCEN Regarding Anti-Money Laundering Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers
October 5, 2015
NASAA Letter to the Department of Labor Regarding its Proposed Rulemaking Defining the Term “Fiduciary”
September 30, 2015