All: State Rule Proposals

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

Regulatory Activity, State Rule Proposals Read more

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 

Regulatory Activity, State Rule Proposals Read more

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

April 18, 2007

Regulatory Activity, State Rule Proposals Read more

Iowa Insurance Division Notice of Intended Action

April 13, 2007

Regulatory Activity, State Rule Proposals Read more

Proposed Amendments to Florida Administrative Code

January 5, 2007

Regulatory Activity, State Rule Proposals Read more

Arizona Corporation Commission Files Notice of Final Rulemaking

June 23, 2006

Regulatory Activity, State Rule Proposals Read more

The Idaho Department of Finance is soliciting input as it develops its Strategic Plan

June 8, 2006

Regulatory Activity, State Rule Proposals Read more

Maryland Division of Securities Announces Notice of Opportunity to Inspect and Comment on Proposed Amendments to Chapters .01, .02 and .08 of Securities Division Regulations

April 18, 2006

Regulatory Activity, State Rule Proposals Read more

Maine Office of Securities, Department of Professional and Financial Regulation Notice of Agency Rule-Making Proposals

October 24, 2005

Regulatory Activity, State Rule Proposals Read more

The California Corporations Commissioner has adopted changes to Title 10, California Code of Regulations (10 C.C.R. Section 260.121) pursuant to the Corporate Securities Law of 1968 relating to entity conversion transactions

October 21, 2005

Regulatory Activity, State Rule Proposals Read more