The Washington State Securities Division is considering proposing to amend WAC 460-44A to make ministerial updates to account for amendments to federal Regulation D. The relevant files are below. CR-101 – Interested Persons Correspondence (pdf) WSR 14-02-126 (pdf) Print | PDF | Email
On October 25, 2013, the Maryland Securities Division issued an order extending the use of the Maryland Limited Offering Exemption to LLCs and other entities. The order, which has additional detail, is available on the the division’s website, here. Print | PDF | Email
October 30, 2013 — The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized release for public comment the accompanying materials regarding a new proposed coordinated review program for offerings exempt from registration federally under Section 3(b)(2) of the Securities Act of 1933. Section 3(b)(2) of the Securities Act of […]
The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release, for both public and internal comment, of a proposed Multi‐Unit Commentary related to state franchise disclosure laws. The proposal defines certain multi‐unit franchising arrangements that have become common in franchising and provides guidance for disclosing those arrangements in franchise disclosure documents. […]
The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized release for public comment proposed changes to the NASAA Registration Exemption for Investment Advisers to Private Funds Model Rule under the Uniform Securities Act of 1956 and under the Uniform Securities Act of 2002. Public Comment Period The public comment […]
The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release for internal and public comment for proposed changes to the Judgment/Lien Disclosure Reporting Page of the Uniform Application for Securities Industry Registration or Transfer (Form U4). Background and Summary Representatives of broker-dealers, investment advisers, or issuers of securities […]
The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release for internal and public comment proposed changes to the Uniform Branch Registration Form (Form BR), including its instructions. Background and Summary Form BR is the form used for branch office registration, notification, closing or withdrawal. Broker-dealers and […]
The Washington Securities Division is proposing to amend the rules for investment advisers in Chapter 460-24A WAC. The proposed rules would update various provisions of the investment adviser rules, including the rules regarding financial reporting requirements, custody, books and records, and unethical practices.
The Board of Directors of the North American Securities Administrators Association, Inc. (“NASAA”) has authorized release for internal and public comment the following proposed changes to Model Rules 102(e)(1)-1 and 203(a)-2 under the Uniform Securities Act of 1956 and Model Rules USA 2002 411(c)-1 and USA 2002 411(f)-(1) under the Uniform Securities Act of 2002 […]
The Board of Directors of the North American Securities Administrators Association, Inc. (“NASAA”) has authorized release for public comment the following proposed changes to Model Rule 102(f)-3 under the Uniform Securities Act of 1956 and Model Rule 502(c) under the Uniform Securities Act of 2002 (“the performance fee model rules” or “the Model Rules”). Public […]
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