All: State Rule Proposals

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

June 4, 2009

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

November 20, 2008 

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The North Carolina Division of Securities Seeks Comments on Proposals

November 17, 2008

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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

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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

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The Washington Securities Division is soliciting comments on the possible amendments of its rules to clarify that a person who uses a professional designation may be holding himself out as a financial planner, thereby necessitating registration as an investment adviser, and that the misleading use of professional designations is prohibited

July 6, 2007 

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Washington Securities Division Seeks Comments on Possible Amendments to to Rules Regarding Use of Professional Designations Relating To Senior Citizens

April 18, 2007

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Iowa Insurance Division Notice of Intended Action

April 13, 2007

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Proposed Amendments to Florida Administrative Code

January 5, 2007

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Arizona Corporation Commission Files Notice of Final Rulemaking

June 23, 2006

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