Comment Letters

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July 14, 2025

NASAA Comment Letter to FINRA Regarding Regulatory Notice 25-07: Supporting Modern Member Workplaces.

June 11, 2025

NASAA Comment Letter to FINRA Regarding Regulatory Notice 25-04, Rule Modernization, and Regulatory Notice 25-06, Supporting Capital Formation.

May 13, 2025

NASAA Comment Letter to FINRA Regarding Regulatory Notice 25-05, Outside Activities

January 28, 2025

NASAA Comment Letter to FINRA Regarding Regulatory Notice 24-13, Retrospective Rule Review: Day Trading

January 21, 2025

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2024-022, Proposed Changes to FINRA’s Arbitration Codes Regarding Arbitrator Selection

July 22, 2024

NASAA Comment Letter Regarding S7-2024-02 and FINCEN-2024-0011, Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers

June 7, 2024

NASAA Comment Letter to PCAOB Regarding Rulemaking Docket Matter No. 055, Firm Reporting.

April 12, 2024

NASAA Comment Letter Regarding FINCEN-2024-0006, Anti-Money Laundering Proposal for SEC Investment Advisers

April 3, 2024

NASAA Comment Letter Regarding PCAOB Rulemaking No. 054 False or Misleading Statements Concerning PCAOB Registration and Oversight

February 12, 2024

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2024-001, Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers)