Comment Letters, Testimony & Statements for the Record
DOL
Association Health Plans 2/26/18
Delay of DOL Fiduciary Rule 3/17/17
State-Run Retirement Proposal 1/19/16
Supplemental Comment Letter On Fiduciary Rule 9/24/15
SEC
Initial Comment Letter on Fiduciary Rule 7/21/15Regulation Best Interest 8/7/18
Draft FY 2018-2022 Strategic Plan 7/25/18
Shortened Settlement Cycle 12/2/16
SR FINRA 2016-039 Financial Exploitation of Specified Adults 11/28/16
SR FINRA 2016-033 Broadening Chairperson Eligibility in Arbitration 9/27/16
Adviser Business Continuity and Transition Plans 9/6/16
SR-FINRA-2016-022: Proposed Rule Change Regrading Arbitration of Customer Disputes 8/4/16
Incentive Based Compensation Arrangements 7/22/16
Consolidated Audit Trail 7/18/16
SR-MSRB-2016-07 Proposed Rule Change Regarding Close-Out Procedures for Municipal Securities 6/22/16
SR-FINRA 2015-056 “Pay to Play” Rule 4/27/16
SR-MSRB-2016-04 Proposal to Shorten The Settlement Cycle For Municipal Securities 4/8/16
SR-FINRA-2016-004: FINRA Coordination with the MSRB 3/11/16
SR-FINRA-2015-022: BrokerCheck Hyperlinks Proposal 8/3/15
SR-FINRA-2015-015: Web-Based Delivery of Continuing Education Proposal 7/8/15
SR-MSRB-2015-03: Amendment to Municipal Advisor Rule
FINRA
Regulatory Notice 17-42|Expungement of Customer Dispute Information (Notice) 02/05/18
Special Notice: Comment on Potential Enhancements to Certain Engagement Programs 6/19/17
Regulatory Notice 17-06: Retrospective Rule Review: Communications with the Public 3/17/17
Regulatory Notice 16-09: Shortened Settlement Cycle 4/4/16
Regulatory Notice 15-37: Elder Abuse Proposal 12/4/15
Regulatory Notice 15-22: Discretionary Accounts and Trading Proposal 8/17/15
Regulatory Notice 15-20: Qualifying Exam Concept Release 7/27/15
Regulatory Notice 15-19: Recruitment Compensation Proposal 7/13/15
Regulatory Notice 15-16: Retrospective Rule Review: Communications with the Public 7/2/15Regulatory Notice 2017-22 MSRB Seeks Input on Compliance Support 2/9/18
MSRB
Regulatory Notice 2016-024 Continuing Education for Municipal Advisors 11/14/16
Regulatory Notice 2016-025 Strategic Priorities 11/11/16
Regulatory Notice 2016-023 Minimum Denominations 10/11/16
Regulatory Notice 15-16: Proposed Pricing Disclosure Rule 12/11/15
Regulatory Notice 15-22: Proposal to Shorten The Settlement Cycle For Municipal Securities 12/10/15
U.S. Department of Treasury
Registered Investment Adviser Anti-Money Laundering Proposal (FINCEN) 11/2/15
NASAA
Elder Abuse Prevention Model Legislation 10/30/15
States
Nebraska
Comments Regarding Proposed Changes to Title 48 of the Nebraska Administrative Code 8/10/16
New Hampshire
Senior-Specific Certifications and Professional Designations 12/8/16
New York
Cybersecurity Requirements for Financial Services Companies 1/27/17
Oregon
Rules of the Oregon State Retirement Savings Plan 2/22/17
Pennsylvania
Comment Letter on Securities Regulation Omnibus Amendments 8/1/16
Tennessee
Texas
Amendments on Communications and Balance Sheets 7/20/15
Vermont
Securities Regulatory Proposal 3/29/16
Washington
Small Business Retirement Market Place Proposal – Department of Commerce 3/17/16
Small Business Retirement Market Place Proposal – Department of Financial Services 2/29/16
Congress
House
FSI Submits Letter Supporting the Small Business Audit Correction Act of 2018
Senate
FSI Submits Letter Supporting the Small Business Audit Correction Act of 2018