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Comment Letters

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September 11, 2023

NASAA Comment Letter to the SEC Regarding Proposed Enhancements to the Broker-Dealer Customer Protection Rule S7-11-23

August 29, 2023

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2023-007: Remote Inspections Pilot Program

July 26, 2023

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2023-006: Residential Supervisory Location

June 8, 2023

NASAA Comment Letter to the Federal Trade Commission Regarding Request for Information: Solicitation for Public Comments on Provisions of Franchise Agreements and Franchisor Business Practices, Docket ID FTC-2023-0026

May 25, 2023

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2023-007: Remote Inspections Pilot Program

May 22, 2023

NASAA Comment Letter to the SEC Regarding File Nos. S7-05-23, S7-06-23, S7-04-22: Regulation S-P and Cybersecurity Risk Management Proposals

May 8, 2023

NASAA Comment Letter to the SEC Regarding File No. S7-04-23: Safeguarding Advisory Client Assets

April 27, 2023

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2023-006, Residential Supervisory Location

April 18, 2023

NASAA Comment Letter to Federal Trade Commission Regarding Matter No. 201200, Non-Compete Clause Rulemaking

March 31, 2023

NASAA Comment Letter to the SEC Regarding File Nos. S7-29-22, S7-30-22, S7-31-22 and S7-32-22 Related to Regulation Best Execution and Other Market Structure Proposals