The Vermont Department of Financial Regulation, Securities Divisions is seeking public comment on Securities Rule No. S-2016-01. This rule establishes a comprehensive set of regulations to govern the sale of securities in the State of Vermont. Chapter 1 establishes authority and definitions; Chapter 2 lists all materials incorporated by reference; Chapter 3 provides for the registration of […]
All: State Rule Proposals
The Nebraska Department of Banking and Finance has issued a notice of rulemaking hearing. The Department is proposing the adoption of new rules related to the small intrastate offering exemption, crowdfunding, integration of offerings, and an exclusion from the definition of “investment adviser” for advisers to certain private funds. A public hearing on the proposals […]
Washington Securities Division Adopts Final Rule to Require Notice Filings for Tier 2 Securities Offerings Under Regulation A
On September 17, 2015, the Washington Securities Division announced that it had adopted a final rule to require notice filings in connection with Tier 2 securities offerings under federal Regulation A. The Rule-Making Order (Form CR-103) and the text of the final rule were filed on September 16, 2015 with the Office of the Code Reviser […]
Washington Securities Division Seeks Comments on Proposed Rules to Require Notice Filings in Connections with Tier 2 Securities Offerings Under Federal Regulation A
Comments should be submitted by September 9, 2015.
The Washington Securities Division is planning to propose rules to preserve filing requirements in connection with offerings of securities to be made under Tier 2 of the Securities and Exchange Commission’s newly adopted rules for Regulation A offerings. See below for details. Tier 2 Offerings Under Regulation A Print | PDF | Email
The Washington State Securities Division is considering proposing to amend WAC 460-44A to make ministerial updates to account for amendments to federal Regulation D. The relevant files are below. CR-101 – Interested Persons Correspondence (pdf) WSR 14-02-126 (pdf) Print | PDF | Email
On October 25, 2013, the Maryland Securities Division issued an order extending the use of the Maryland Limited Offering Exemption to LLCs and other entities. The order, which has additional detail, is available on the the division’s website, here. Print | PDF | Email
The Washington Securities Division is proposing to amend the rules for investment advisers in Chapter 460-24A WAC. The proposed rules would update various provisions of the investment adviser rules, including the rules regarding financial reporting requirements, custody, books and records, and unethical practices.
The Maryland Securities Commission has issued an order amending the Maryland Securities Act to adopt the NASAA Registration Exemption for Investment Advisers to Private Funds Model Rule concerning treatment of certain private fund advisers under the Dodd-Frank Act. Print | PDF | Email
Washington’s Franchise Investment Protection Act, chapter 19.100 RCW (the “Act”), was amended to make technical corrections in the 2012 legislative session through Senate Bill 6172. The amendments better align the Act with the Federal Trade Commission’s Franchise Rule, 16 CFR § 436, and Washington’s Administrative Procedures Act. The amendments: Revise the franchise disclosure document delivery […]