All: Regulatory Activity

Proposed Repeal of NASAA Guidelines for Registration of Periodic Payment Plans

The NASAA Corporation Finance Policy Project Group (Project Group) requests public comment on the proposed repeal of  NASAA’s Guidelines for Registration of Periodic Payment Plans (Guidelines). The public comment period is from August 21, 2007 to September 21, 2007. Download: Notice of Release for Public Comment Print | PDF | Email

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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

July 6, 2007  Print | PDF | Email

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Notice of Release: Internal and public comments sought on a proposal by the NASAA Franchise Project Group for franchise states to accept, as of July 1, 2007, franchise disclosure prepared under the FTC’s new amended Franchise Rule with the addition of a new state cover page

The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release, for both internal and public comment, the attached proposal for states that register franchise offerings to accept, as of July 1, 2007, franchise disclosure documents prepared under the Federal Trade Commission’s amended Franchise Rule with certain additional requirements, […]

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Notice of Release: Internal and public comments sought on a proposal by the NASAA Franchise Project Group for franchise states to accept, as of July 1, 2007, franchise disclosure prepared under the FTC's new amended Franchise Rule with the addition of a new state cover page

The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release, for both internal and public comment, the attached proposal for states that register franchise offerings to accept, as of July 1, 2007, franchise disclosure documents prepared under the Federal Trade Commission’s amended Franchise Rule with certain additional requirements, […]

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Washington Securities Division Seeks Comments on Possible Amendments to to Rules Regarding Use of Professional Designations Relating To Senior Citizens

April 18, 2007 Print | PDF | Email

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Iowa Insurance Division Notice of Intended Action

April 13, 2007 Print | PDF | Email

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Proposed Amendments to Florida Administrative Code

January 5, 2007 Print | PDF | Email

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Arizona Corporation Commission Files Notice of Final Rulemaking

June 23, 2006 Print | PDF | Email

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The Idaho Department of Finance is soliciting input as it develops its Strategic Plan

June 8, 2006 Print | PDF | Email

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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

April 18, 2006 Print | PDF | Email

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