All: Regulatory Activity

Washington Amends Franchise Investment Protection Act

Washington’s Franchise Investment Protection Act, chapter 19.100 RCW (the “Act”), was amended to make technical corrections in the 2012 legislative session through Senate Bill 6172.    The amendments better align the Act with the Federal Trade Commission’s Franchise Rule, 16 CFR § 436, and Washington’s Administrative Procedures Act.  The amendments:  Revise the franchise disclosure document delivery […]

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Notice of Request for Public Comment: Proposed Model Franchise Exemptions

NASAA’s Franchise and Business Opportunity Project Group (the “Franchise Project Group” or “Project Group”) is rereleasing for comment from interested persons proposed changes to NASAA’s Model Franchise Exemptions (the “Model Exemptions”).  In response to a previous solicitation for comment, NASAA received a total of six (6) public comments regarding various provisions in the Model Exemptions.  […]

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Washington Proposes Amendments to Mortgage Broker-Dealer Rules

March 14, 2012 – The Washington Securities Division is proposing to amend Chapter 460-33A WAC, which provides an optional method of registration for “mortgage paper securities” as defined in WAC 460-33A-015(4). The proposed rules would strengthen investor suitability requirements; revise the calculation of the number of investors that may participate in a loan; establish requirements […]

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Washington proposes to amend certain WAC sections to correct references to definitions in the Securities Act of Washington

March 6, 2012

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Washington proposes amendments to conform “accredited investor” to federal law

March 5, 2012

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Virginia proposal to adopt Model Rule on exemption of advisers to certain private funds

February 14, 2012

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Washington considers proposing to amend certain WAC sections to correct references to definitions in Securities Act of Washington

January 30, 2012   Print | PDF | Email

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State Securities Regulators Announce Hotline and Website for E*Trade ARS Investors

January 18, 2012 – NASAA announces that a toll-free hotline and website have been established to assist investors who purchased auction rate securities (ARS) through E*TRADE Securities LLC.

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Letter of Support for S. 1907, the PCAOB Enforcement Transparency Act of 2011

December 21, 2011 The Honorable Tim Johnson Chairman Senate Committee on Banking, Housing, & Urban Affairs 534 Dirksen Senate Office Building Washington, DC 20510  The Honorable Richard ShelbyRanking MemberSenate Committee on Banking,Housing, & Urban Affairs534 Dirksen Senate Office BuildingWashington, DC 20510 Dear Chairman Johnson and Ranking Member Shelby: On behalf of the North American Securities Administrators Association (NASAA) I amwriting […]

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NASAA Comment Letter to House of Representatives in Opposition of H.R. 2930

November 3, 2011 The Honorable John Boehner Speaker United States House of Representatives Washington, DC 20515 The Honorable Nancy Pelosi Minority Leader United States House of Representatives Washington, DC 25015   Dear Mr. Speaker and Madam Leader: I am writing on behalf of the North American Securities Administrators Association (NASAA) to express my opposition to […]

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