State Rule Proposals Archive

In the event that the State Rule Proposal you are looking for is not present, please get in touch with us.  [Note, some pdfs are beyond our control and some may have been removed over the years.] View all current and past state rule proposals here.

01/30/12 Washington considers proposing to amend certain WAC sections to correct references to definitions in Securities Act of Washington
10/05/11 Rhode Island Issues Notice of Hearing and Proposed Franchise Rule
06/30/11 North Carolina Issues Informational Bulletin Regarding Investment Company Notice Filing Fee Change
06/03/11 Notice of Proposed Revision to the Rules and Regulations Pursuant to the Delaware Securities Act
11/04/10 Nebraska Department of Banking and Finance Issues Notice of Rulemaking Hearing
10/20/10 Maine Issues Licensing Renewal Instructions for Calendar Year 2011
10/18/10 Utah’s Division of Securities has issued three notices of proposed rules, including:

The comment period is open through 5 p.m. on November 15, 2010. The rules became effective on November 22, 2010.

08/18/10 Washington Proposes to Amend Accredited Investor Definition to Conform with Federal Law
06/18/10 Maryland Interpretive Opinion/No Action Position on Revision to Delivery Requirements Under Maryland Franchise Law
05/28/10 Wisconsin Notice of Hearing regarding Proposed Rule relating to Minor Revisions to Securities Law and Franchise Law
05/05/10 Wisconsin Securities Law Penalty Enhancer Legislation Is Signed and Becomes Effective
02/01/10 Utah Issues Notice of Proposed Rule
12/30/09 Florida Office of Financial Regulation Issues Notice of Rule Development
12/23/09 Arizona Corporation Commission Notice of Proposed Order Regarding Dealer and Salesman Registration Fees and Salesman Transer Fee and Request for Comment
11/02/09 The Securities Division of the Washington Department of Financial Institutions recently filed a Rule Making Order amending its franchise registration rules.


08/17/09 Proposed Florida Rule: Disqualifying Periods for Associated Person Registrations
07/27/09 Alabama Securities Commission Notice of Fee Increase
07/01/09 Effective July 1, 2009,  Rhode Island has increased the licensing feesfor Broker Dealer, State Licensed Investment Adviser, sales representative(“RR”, “AG”) and investment adviser representative(“IAR”).New fees are:

  • BD Licensing $300
  • BD Renewal $300
  • RR Licensing $60
  • RR Renewal $60
  • RR Transfer $60
  • State Licensed Investment Adviser $300
  • IAR Licensing $60
06/30/09 Wisconsin Department of Financial Institutions issues notice of fee increases
06/04/09 Washington Securities Division Files Notice of Preproposal Statement of Inquiry Concerning Mortgage Paper Securities (Preproposal Statement of Inquiry)
11/20/08 Maryland Securities Commissioner Issues Order for Revised Notice Filing Requirements for Form D
11/17/08 The North Carolina Division of Securities Seeks Comments on Proposals
07/31/08 Washington State Securities Division Amends Private and Limited Offering Rules: The Washington State Securities Division has amended the rules set forth in WAC 460-44A-500 and 460-44A-502 through -506 in light of amendments to related rules set forth in federal Regulation D
04/15/08 Maine Office of Securities Seeks Comments on Proposal to Repeal and Replace Section 11 of Chapter 515 of the Rules of the Office of Securities Concerning Investment Adviser Licensing

07/06/07 The Washington Securities Division is soliciting comments on the possible amendments of its rules to clarify that a person who uses a professional designation may be holding himself out as a financial planner, thereby necessitating registration as an investment adviser, and that the misleading use of professional designations is prohibited.We have broadened the scope of our inquiry into possible rule-making concerning professional designations as compared to the rule-making notice published in the Washington State Register in April, which pertained to the use of professional designations relating to senior citizens by broker-dealers, investment advisers, and their representatives.Documents:

If you have any questions or comments, please contact Faith Anderson at (360) 725-7825 or by email.

04/18/07 Washington Securities Division Seeks Comments on Possible Amendments to to Rules Regarding Use of Professional Designations Relating To Senior Citizens
04/13/07 Iowa Insurance Division Notice of Intended Action
01/05/07 Proposed Amendments to Florida Administrative Code:

06/23/06 Arizona Corporation Commission Files Notice of Final Rulemaking
06/08/06 The Idaho Department of Finance is soliciting input as it develops its Strategic Plan
04/18/06 Maryland Division of Securities Announces Notice of Opportunity to Inspect and Comment on Proposed Amendments to Chapters .01, .02 and .08 of Securities Division Regulations
10/24/05 Maine Office of Securities, Department of Professional and Financial Regulation Notice of Agency Rule-Making Proposals
10/21/05 The California Corporations Commissioner has adopted changes to Title 10, California Code of Regulations (10 C.C.R. Section 260.121) pursuant to the Corporate Securities Law of 1968 relating to entity conversion transactions
10/08/04 Securities Division of the Arizona Corporation Commission has filed a Notice of Proposed Rulemaking to Amend A.A.C.R14-4-116
08/31/04 Maryland Division of Securities announcement of a regulatory review pursuant to Maryland’s Regulatory Review and Evaluation Act (§§10-130 through 10-139 of the State Government Article of the Maryland Code)
04/16/04 California Department of Corporations adopts regulations relating to electronic filing for offer and sale of securities
03/01/04 Washington State Amends WAC 460-42A-081, Creating a Secondary Trading Exemption for Securities Listed on the Toronto Stock Exchange
02/25/04 California Department of Corporations Announces its Participation in NASAA’s Coordinated Franchise Review Program
12/03/03 The State of Maine Office of Securities announces the final adoption of two rules:
Chapter 541 reduces sales representative renewal fees from $40 to $30 and Chapter 540 adopts Adjudicatory Proceeding Rules
11/25/03 Emergency Order temporarily readopting changes to Rule 260.102.14 of the California Code of Regulations relating to electronic filings of notices under California Corporations Code Section 25102(f)
09/09/03 California Department of Corporations` proposed regulation changes relating to entity conversion transactions
05/09/03 Wisconsin Rule Conforming Broker-Dealer Books and Records Requirements
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State Rule Proposals