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Comment Letters

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Topic
Year
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

March 7, 2023

NASAA Comment Letter to the SEC Regarding Private Market Reforms

March 3, 2023

NASAA Comment Letter to the OSTP Regarding Request for Information: Digital Assets Research and Development

January 12, 2023

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-021, Remote Inspections Pilot Program

December 28, 2022

NASAA Comment Letter to the SEC Regarding File. No. S7-25-22, Outsourcing by Investment Advisers

December 16, 2022

NASAA Comment Letter to SBA Regarding Affiliation and Lending Criteria for the SBA Business Loan Programs 13 C.F.R. Parts 120 and 121

December 7, 2022

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-021, Remote Inspections Pilot Program

December 7, 2022

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-024, Proposed Revisions to the Expungement Process

November 25, 2022

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-019, Residential Supervisory Location

October 12, 2022

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2022-015, FINRA BrokerCheck Disclosure to Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm

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