Directory Of Securities Laws & Regulations

State Rule Proposals

NASAA is pleased to offer visitors announcements of upcoming state securities rules proposals and other announcements of interest from NASAA members. This section will be updated as new rule proposals are received from NASAA members.

06/18/10

Maryland Interpretive Opinion/No Action Position on Revision to Delivery Requirements Under Maryland Franchise Law

05/28/10

Wisconsin Notice of Hearing regarding Proposed Rule relating to Minor Revisions to Securities Law and Franchise Law

05/05/10

Wisconsin Securities Law Penalty Enhancer Legislation Is Signed and Becomes Effective

02/01/10

Utah Issues Notice of Proposed Rule

12/30/09

Florida Office of Financial Regulation Issues Notice of Rule Development

12/23/09

Arizona Corporation Commission Notice of Proposed Order Regarding Dealer and Salesman Registration Fees and Salesman Transer Fee and Request for Comment

11/02/09

Washington State Amends Franchise Registration Rules

08/17/09

Proposed Florida Rule: Disqualifying Periods for Associated Person Registrations

07/27/09

Alabama Securities Commission Notice of Fee Increase

07/01/09

Rhode Island Increases Licensing Fees

06/30/09

Wisconsin Department of Financial Institutions issues notice of fee increases

06/04/09

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

11/20/08

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

11/17/08

The North Carolina Division of Securities Seeks Comments on Proposals.

07/31/08

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.

04/15/08

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

07/06/07

Washington Securities Division Seeks Comments on Possible Amendments to Rules Regulating the Use of Professional Designations

04/18/07

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

04/13/07

Iowa Insurance Division Notice of Intended Action

01/05/07

Proposed Amendments to Florida Administrative Code

06/23/06

Arizona Corporation Commission Files Notice of Final Rulemaking

06/08/06

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

04/18/06

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

10/24/05

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

10/21/05

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.

10/08/04

Securities Division of the Arizona Corporation Commission has filed a Notice of Proposed Rulemaking to Amend A.A.C.R14-4-116

08/31/04

Maryland Division of Securities announcement of a regulatory review pursuant to Maryland’s Regulatory Review and Evaluation Act.

04/16/04

California Department of Corporations adopts regulations
relating to electronic filing for offer and sale of securities

03/01/04

Washington State Amends WAC 460-42A-081, Creating a Secondary Trading Exemption for Securities Listed on the Toronto Stock Exchange

02/25/04

California Department of Corporations Announces its Participation in NASAA’s Coordinated Franchise Review Program

12/03/03

The State of Maine Office of Securities announces the final adoption of two rules. Chapter 541 reduces sales representative renewal fees from $40 to $30 and Chapter 540 adopts Adjudicatory Proceeding Rules

11/25/03

Emergency Order temporarily readopting changes to Rule 260.102.14 of the California Code of Regulations relating to electronic filings of notices under California Corporations Code Section 25102(f)

09/09/03

California Department of Corporations` proposed regulation changes relating to entity conversion transactions

05/09/03

Wisconsin Rule Conforming Broker-Dealer Books and Records Requirements



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