Home > Policy > Regulatory Policy > Comment Letters

Comment Letters

If the comment or correspondence letter you are looking for is not here, please get in touch with us.

September 6, 2022

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

August 23, 2022

NASAA Comment Letter to the SEC Regarding File No. SR FINRA 2022-019 and SR FINRA 2022-021, Remote Inspections Pilot Program and Residential Supervisory Location

August 16, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-16-22, Fund Names and Investment Company/Investment Adviser Disclosure About Their Use of ESG Factors

August 8, 2022

NASAA Comment Letter to the Department of Treasury Regarding Executive Order No. 14067, Ensuring Responsible Development of Digital Assets

June 13, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-13-22, Special Purpose Acquisition Companies, Shell Companies, and Projections

May 16, 2022

NASAA Comment Letter to FINRA Regarding Regulatory Notice 22-09, Accelerated Processing of Arbitration Proceedings

May 9, 2022

NASAA Comment Letter to FINRA Regarding Regulatory Notice 22-08, Complex Products and Options

May 9, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-09-22, Public Company Cybersecurity Risk Management Disclosures

April 25, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-03-22, Proposed Rules for Private Fund Advisers

April 11, 2022

NASAA Comment Letter to the SEC Regarding File No. S7-04-22, Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies and Business Development Companies