Comment Letters
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April 25, 2022
NASAA Comment Letter to the SEC Regarding File No. S7-03-22, Proposed Rules for Private Fund Advisers
April 1, 2022
NASAA Comment Letter to the SEC Regarding File No. S7-20-21, SEC Rule 10b5-1 and Insider Trading Proposal
April 1, 2022
NASAA Comment Letter to the SEC Regarding File No. S7-21-21, Share Repurchase Disclosure Proposal
February 14, 2022
NASAA Comment Letter to FINRA Regarding Regulatory Notice 21-43, Prohibition on Borrowing from or Lending to Customers
December 13, 2021
NASAA Comment Letter to the Department of Labor Regarding RIN 1210-AC03, Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights
December 6, 2021
NASAA Comment Letter to FINRA Regarding Regulatory Notice 21-35, Routing Disclosures for OTC Equity Securities
October 1, 2021
NASAA Comment Letter to the SEC Regarding File No. S7-10-21, Digital Engagement Practices and Investment Adviser Use of Technology
September 30, 2021
