All: State Rule Proposals

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  

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Rhode Island Issues Notice of Hearing and Proposed Franchise Rule

October 5, 2011

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North Carolina Issues Informational Bulletin Regarding Investment Company Notice Filing Fee Change

June 30, 2011

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Notice of Proposed Revision to the Rules and Regulations Pursuant to the Delaware Securities Act

June 3, 2011

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Nebraska Department of Banking and Finance Issues Notice of Rulemaking Hearing

November 4, 2010

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Maine Issues Licensing Renewal Instructions for Calendar Year 2011

October 20, 2010

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