Washington Securities Division Adopts Final Rule to Require Notice Filings for Tier 2 Securities Offerings Under Regulation A

On September 17, 2015, the Washington Securities Division announced that it had adopted a final rule to require notice filings in connection with Tier 2 securities offerings under federal Regulation A.  The Rule-Making Order (Form CR-103) and the text of the final rule were filed on September 16, 2015 with the Office of the Code Reviser for publication in the Washington State Register on October 7, 2015 (Issue # 15-19).  The final rule is effective October 17, 2015.  The Rule-Making Order, text of the final rule, and the notice filing form are available on our website at http://www.dfi.wa.gov/rulemaking/tier-2-offerings-under-regulation.  Questions regarding the final rule may be directed to Faith Anderson, Chief of Registration & Regulatory Affairs, by email at faith.anderson@dfi.wa.gov or by telephone at 360-725-7825.

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Regulatory Activity, State Rule Proposals