Regulatory
June 21, 2012
Maryland Issues Exempt Reporting Adviser Order
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.
May 18, 2012
Washington Amends Franchise Investment Protection Act
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 […]
April 16, 2012
Notice of Request for Public Comment: Proposed Model Franchise Exemptions
NASAA’s Franchise and Business Opportunity Project Group (the “Franchise Project Group” or “Project Group”) is rereleasing for comment from interested persons proposed changes to NASAA’s Model Franchise Exemptions (the “Model Exemptions”). In response to a previous solicitation for comment, NASAA received a total of six (6) public comments regarding various provisions in the Model Exemptions. […]
March 16, 2012
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 […]
March 6, 2012
Washington proposes to amend certain WAC sections to correct references to definitions in the Securities Act of Washington
March 6, 2012
March 5, 2012
Washington proposes amendments to conform “accredited investor” to federal law
March 5, 2012
February 15, 2012
Virginia proposal to adopt Model Rule on exemption of advisers to certain private funds
February 14, 2012
January 30, 2012
Washington considers proposing to amend certain WAC sections to correct references to definitions in Securities Act of Washington
January 30, 2012
January 18, 2012
State Securities Regulators Announce Hotline and Website for E*Trade ARS Investors
January 18, 2012 - NASAA announces that a toll-free hotline and website have been established to assist investors who purchased auction rate securities (ARS) through E*TRADE Securities LLC.
December 22, 2011
Letter of Support for S. 1907, the PCAOB Enforcement Transparency Act of 2011
December 21, 2011 The Honorable Tim Johnson Chairman Senate Committee on Banking, Housing, & Urban Affairs 534 Dirksen Senate Office Building Washington, DC 20510 The Honorable Richard ShelbyRanking MemberSenate Committee on Banking,Housing, & Urban Affairs534 Dirksen Senate Office BuildingWashington, DC 20510 Dear Chairman Johnson and Ranking Member Shelby: On behalf of the North American Securities Administrators Association (NASAA) I amwriting […]
Washington, DC 20002
