All: State Rule Proposals

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

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Proposed Florida Rule: Disqualifying Periods for Associated Person Registrations

August 17, 2009 Print | PDF | Email

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Alabama Securities Commission Notice of Fee Increase

July 27, 2009 Print | PDF | Email

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Rhode Island has increased the licensing fees

July 1, 2009 Print | PDF | Email

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Wisconsin Department of Financial Institutions issues notice of fee increases

June 30, 2009  Print | PDF | Email

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

June 4, 2009 Print | PDF | Email

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Maryland Securities Commissioner Issues Order for Revised Notice Filing Requirements for Form D

November 20, 2008  Print | PDF | Email

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The North Carolina Division of Securities Seeks Comments on Proposals

November 17, 2008 Print | PDF | Email

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Washington State Securities Division Amends Private and Limited Offering Rules: The Washington State Securities Division has amended the rules set forth in WAC 460-44A-500 and 460-44A-502 through -506 in light of amendments to related rules set forth in federal Regulation D

July 31, 2008 Print | PDF | Email

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Maine Office of Securities Seeks Comments on Proposal to Repeal and Replace Section 11 of Chapter 515 of the Rules of the Office of Securities Concerning Investment Adviser Licensing

April 15, 2008 Print | PDF | Email

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