All: Regulatory Activity

Nebraska Department of Banking and Finance Issues Notice of Rulemaking Hearing

November 4, 2010 Print | PDF | Email

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Maine Issues Licensing Renewal Instructions for Calendar Year 2011

October 20, 2010 Print | PDF | Email

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

October 18, 2010 Print | PDF | Email

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

August 18, 2010 Print | PDF | Email

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

June 18, 2010 Print | PDF | Email

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

May 28, 2010 Print | PDF | Email

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Wisconsin Securities Law Penalty Enhancer Legislation Is Signed and Becomes Effective

May 5, 2010  Print | PDF | Email

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Utah Issues Notice of Proposed Rule

February 1, 2010 Print | PDF | Email

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Florida Office of Financial Regulation Issues Notice of Rule Development

December 30, 2009 Print | PDF | Email

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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