All: Regulatory Activity

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

State Securities Regulators Announce Settlement with Stifel, Nicolaus & Co., Inc. in Auction Rate Securities Investigations

WASHINGTON, D.C. December 29, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between Stifel, Nicolaus & Co., Inc. and state securities regulators to provide relief for the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. The settlement […]

2009 Headlines, ARS, Enforcement Activity, Legal Activity, Newsroom Read more

State Securities Regulators Announce Settlement with Stifel, Nicolaus & Co., Inc. in Auction Rate Securities Investigations

WASHINGTON, D.C. December 29, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between Stifel, Nicolaus & Co., Inc. and state securities regulators to provide relief for the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. The settlement […]

2009 Headlines, ARS, Enforcement Activity, Legal Activity, Newsroom Read more

Arizona Corporation Commission Notice of Proposed Order Regarding Dealer and Salesman Registration Fees and Salesman Transer Fee and Request for Comment

December 23, 2009 Print | PDF | Email

Regulatory Activity, State Rule Proposals Read more

State Securities Regulators Announce $1.3 Billion Settlement with Wells Fargo Investors in Auction Rate Securities Investigations

WASHINGTON, D.C. November 18, 2009 – The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between Wells Fargo Investments LLC and state securities regulators to return approximately $1.3 billion to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. Since […]

2009 Headlines, ARS, Enforcement Activity, Legal Activity Read more

The Securities Division of the Washington Department of Financial Institutions recently filed a Rule Making Order amending its franchise registration rules

November 2, 2009 Print | PDF | Email

Regulatory Activity, State Rule Proposals Read more