Comment Letters

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January 20, 2016

NASAA Comment Letter to the SEC Regarding FINRA’s Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-to-Play” and Related Rules

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

NASAA Comment Letter to the U.S. Department of Treasury on Expanding Access to Credit Through Online Marketplace Lending.

September 24, 2015

NASAA Letter to the Department of Labor Regarding its Proposed Rulemaking Defining the Term “Fiduciary”

August 31, 2015

NASAA Comment Letter to FINRA Dispute Resolution Task Force on Expungement of Matters from Central Registration Depository (“CRD”)