Regulatory
May 28, 2010
Wisconsin Notice of Hearing regarding Proposed Rule relating to Minor Revisions to Securities Law and Franchise Law
May 28, 2010
May 5, 2010
Wisconsin Securities Law Penalty Enhancer Legislation Is Signed and Becomes Effective
May 5, 2010
December 30, 2009
Florida Office of Financial Regulation Issues Notice of Rule Development
December 30, 2009
December 29, 2009
State Securities Regulators Announce Settlement with Stifel, Nicolaus & Co., Inc. in Auction Rate Securities Investigations
WASHINGTON, D.C. December 29, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between Stifel, Nicolaus & Co., Inc. and state securities regulators to provide relief for the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. The settlement […]
December 29, 2009
State Securities Regulators Announce Settlement with Stifel, Nicolaus & Co., Inc. in Auction Rate Securities Investigations
WASHINGTON, D.C. December 29, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between Stifel, Nicolaus & Co., Inc. and state securities regulators to provide relief for the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. The settlement […]
December 23, 2009
Arizona Corporation Commission Notice of Proposed Order Regarding Dealer and Salesman Registration Fees and Salesman Transer Fee and Request for Comment
December 23, 2009
November 18, 2009
State Securities Regulators Announce $1.3 Billion Settlement with Wells Fargo Investors in Auction Rate Securities Investigations
WASHINGTON, D.C. November 18, 2009 – The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between Wells Fargo Investments LLC and state securities regulators to return approximately $1.3 billion to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. Since […]
November 2, 2009
The Securities Division of the Washington Department of Financial Institutions recently filed a Rule Making Order amending its franchise registration rules
November 2, 2009
August 17, 2009
Proposed Florida Rule: Disqualifying Periods for Associated Person Registrations
August 17, 2009
Washington, DC 20002
