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.

July 14, 2021

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2021-015, Registration and Continuing Education Requirements

June 28, 2021

NASAA Comment Letter to FINRA Regarding Regulatory Notice 21-17, Supporting Diversity and Inclusion in the Broker-Dealer Industry

June 18, 2021

NASAA Comment Letter to the SEC Regarding Climate Change Disclosures

March 17, 2021

NASAA Comment Letter to the SEC Regarding File No. S7-24-20, Rule 144 Amendments

February 23, 2021

NASAA Comment Letter to FINRA Regarding Regulatory Notice 20-42, Retrospective Rule Review – Lessons from the COVID-19 Pandemic

January 28, 2021

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2020-030: Proposed Revisions to the Expungement Process

January 18, 2021

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2020-030, Proposed Revisions to the Expungement Process

January 4, 2021

NASAA Comment Letter to the SEC Regarding File No. S7-09-20, Proposed Amendments to Mutual Fund Disclosure Standards

December 28, 2020

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2020-041, Proposed Rule Change to Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)

December 8, 2020

NASAA Comment Letter to FINRA Regarding Regulatory Notice 20-34, Senior Investors – Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Report