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Comment Letters

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March 27, 2020

NASAA Comment Letter to the SEC Regarding File No. S7-24-15, Proposal Regarding the Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence

March 18, 2020

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2020-005, Proposed Amendments to Expungement Process

March 16, 2020

NASAA Comment Letter to the SEC Regarding File No. S7-25-19, SEC Accredited Investor Rule Proposal

February 10, 2020

NASAA Comment Letter to the SEC Regarding File No. S7-21-19, Proposed Investment Adviser Advertising and Solicitation Rules

February 3, 2020

NASAA Comment Letter to the SEC Regarding File Nos. S7-22-19 and S7-23-19, Proposed Amendments to the Proxy Solicitation Rules

January 24, 2020

NASAA Comment Letter to FINRA Regarding Regulatory Notice 19-36, Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer

January 7, 2020

NASAA Comment Letter to Massachusetts Regarding Proposed Fiduciary Conduct Standard for Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives

December 27, 2019

NASAA Comment Letter to the SEC Regarding Rule 15c2-11 and the “Piggyback” Exception

October 11, 2019

NASAA Comment Letter Regarding SEC Concept Release on Exempt Securities Offerings

October 8, 2019

NASAA Comment Letter to FINRA Regarding Regulatory Notice 19-27, Seniors Retrospective Rule Review