All: Regulatory Activity

Proposed NASAA Model Rule on Private Fund Adviser Registration and Exemption

The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) made significant changes to the provisions governing the regulation of investment advisers under the Investment Advisers Act of 1940 (“IAA”). In addition to expanding the states’ oversight of investment advisers by increasing the assets under management threshold for registration with the Securities and Exchange […]

Issues & Advocacy, NASAA Proposals, Regulatory Activity, Request for Comment Read more

Nebraska Department of Banking and Finance Issues Notice of Rulemaking Hearing

November 4, 2010 Print | PDF | Email

Regulatory Activity, State Rule Proposals Read more

Maine Issues Licensing Renewal Instructions for Calendar Year 2011

October 20, 2010 Print | PDF | Email

Regulatory Activity, State Rule Proposals Read more

Utah’s Division of Securities has issued three notices of proposed rules

October 18, 2010 Print | PDF | Email

Regulatory Activity, State Rule Proposals Read more

Washington Proposes to Amend Accredited Investor Definition to Conform with Federal Law

August 18, 2010 Print | PDF | Email

Regulatory Activity, State Rule Proposals Read more

Maryland Interpretive Opinion/No Action Position on Revision to Delivery Requirements Under Maryland Franchise Law

June 18, 2010 Print | PDF | Email

Regulatory Activity, State Rule Proposals Read more

Wisconsin Notice of Hearing regarding Proposed Rule relating to Minor Revisions to Securities Law and Franchise Law

May 28, 2010 Print | PDF | Email

Regulatory Activity, State Rule Proposals Read more

Wisconsin Securities Law Penalty Enhancer Legislation Is Signed and Becomes Effective

May 5, 2010  Print | PDF | Email

Regulatory Activity, State Rule Proposals Read more

Utah Issues Notice of Proposed Rule

February 1, 2010 Print | PDF | Email

Regulatory Activity, State Rule Proposals Read more

Florida Office of Financial Regulation Issues Notice of Rule Development

December 30, 2009 Print | PDF | Email

Regulatory Activity, State Rule Proposals Read more