Comment Letters
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August 11, 2015
NASAA Comment Letter to SEC Regarding Amendments to Form ADV and Investment Advisers Act Rules; Release No. IA-4091; File No. S7-09-15
August 3, 2015
NASAA Comment Letter to SEC Regarding the regarding the Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public)
July 21, 2015
NASAA Letter to the Department of Labor Regarding its Proposed Rulemaking Defining the Term “Fiduciary”
April 17, 2015
NASAA Comment Letter to SEC Regarding Release 34-74488, FINRA’s Amended Proposal Regarding Equity Research Analysts
April 17, 2015