All: Regulatory Activity

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

November 2, 2009

Regulatory Activity, State Rule Proposals Read more

Proposed Florida Rule: Disqualifying Periods for Associated Person Registrations

August 17, 2009

Regulatory Activity, State Rule Proposals Read more

Proposal for Uniform State Franchise Delivery Requirements

NASAA’s Franchise and Business Opportunity Project Group is soliciting both internal and public comments on a proposal for model state law provisions regarding the delivery of franchise disclosure documents. The Proposal follows new federal franchise delivery requirements adopted under an Amended Federal Trade Commission Franchise Rule in 2007. In the interests of uniformity, the Proposal recommends […]

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

New Model Rules Pertaining to Investment Adviser Solicitors

NASAA’s Investment Adviser Regulatory Policy and Review Project Group is soliciting comments from the public on a proposed model rule regarding solicitors for investment advisers. The Proposed Rule keeps intact the increased investor protection standards presently required by the states, while clarifying the conditions under which investment advisers, investment adviser representatives, and solicitors must operate. […]

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

Alabama Securities Commission Notice of Fee Increase

July 27, 2009

Regulatory Activity, State Rule Proposals Read more

State Securities Regulators Announce Settlement with TD Ameritrade in Auction Rate Securities Investigations

WASHINGTON, D.C. July 20, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between online brokerage TD Ameritrade, Inc. and state securities regulators to return approximately $456 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. […]

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

Rhode Island has increased the licensing fees

July 1, 2009

Regulatory Activity, State Rule Proposals Read more

Wisconsin Department of Financial Institutions issues notice of fee increases

June 30, 2009 

Regulatory Activity, State Rule Proposals Read more

Amendments to Forms U4 and U5 and Proposed Guidance for Filings by Investment Adviser Representatives

The NASAA CRD/IARD Steering Committee and the CRD/IARD Forms and Process Committee have worked with FINRA, regulators, and representatives of the financial services industry in developing amendments to the Form U4 and Form U5. The proposed changes have been published by both FINRA and the SEC for public comment.  On May 13, 2009, the SEC […]

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

Washington Securities Division Files Notice of Preproposal Statement of Inquiry Concerning Mortgage Paper Securities

June 4, 2009

Regulatory Activity, State Rule Proposals Read more