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State Rule Proposals

Topic
Year
July 24, 2019

Nebraska Department of Banking and Finance Proposes Revision of Certain Chapters of Title 48 of the Nebraska Administrative Code

October 11, 2018

Washington Securities Division Adopts Rule Regarding Broker-Dealer, Investment Adviser Fees

July 3, 2018

Washington Securities Division Issues Notice of Proposed Rule to Adjust Investment Adviser and Broker-Dealer Fees

The Securities Division of the Washington Department of Financial Institutions has proposed to adjust the filing fees required for initial and renewal applications for registration as an investment adviser, broker-dealer, investment adviser representative, and securities salesperson, in addition to the initial and renewal and notice filing fees for federal covered advisers, upward by $10.00 to […]
October 25, 2016

Virginia Securities Division Issues Order to Take Notice SEC-2016-00051 – Adopting a Revision to the Rules Governing the Virginia Securities Act

The proposed amendment to Chapter 45 by adding Section 30 (21 VAC 5-45-30) provides for a notice filing for securities issuers that are using federal Regulation A for offerings up to $50 million in a 12-month period. This amendment will allow Virginia to monitor these offerings. The proposed notice filing exemption follows a uniform exemption developed by the […]
June 29, 2016

Nebraska Department of Banking and Finance Issues Notice of Rulemaking Hearing

The Nebraska Department of Banking and Finance has issued a notice of rulemaking. The Department is proposing the revision of multiple rules contained in Title 48 of the Nebraska Administrative Code. A public hearing on the proposals will be held on August 10, 2016, at 9:30 A.M., CDT at the offices of the Department, 1526 […]
February 17, 2016

Vermont Department of Financial Regulation Securities Division Seeks Public Comment

The Vermont Department of Financial Regulation, Securities Divisions is seeking public comment on Securities Rule No. S-2016-01. This rule establishes a comprehensive set of regulations to govern the sale of securities in the State of Vermont. Chapter 1 establishes authority and definitions; Chapter 2 lists all materials incorporated by reference; Chapter 3 provides for the registration of […]
December 3, 2015

Nebraska Department of Banking and Finance Issues Notice of Rulemaking Hearing

The Nebraska Department of Banking and Finance has issued a notice of rulemaking hearing. The Department is proposing the adoption of new rules related to the small intrastate offering exemption, crowdfunding, integration of offerings, and an exclusion from the definition of “investment adviser” for advisers to certain private funds. A public hearing on the proposals […]
September 18, 2015

Washington Securities Division Adopts Final Rule to Require Notice Filings for Tier 2 Securities Offerings Under Regulation A

On September 17, 2015, the Washington Securities Division announced that it had adopted a final rule to require notice filings in connection with Tier 2 securities offerings under federal Regulation A.  The Rule-Making Order (Form CR-103) and the text of the final rule were filed on September 16, 2015 with the Office of the Code Reviser […]
July 10, 2015

Washington Securities Division Seeks Comments on Proposed Rules to Require Notice Filings in Connections with Tier 2 Securities Offerings Under Federal Regulation A

Comments should be submitted by September 9, 2015.
March 27, 2015

Washington Securities Divisions Issues Preproposal Statement of Inquiry

The Washington Securities Division is planning to propose rules to preserve filing requirements in connection with offerings of securities to be made under Tier 2 of the Securities and Exchange Commission’s newly adopted rules for Regulation A offerings. See below for details. Tier 2 Offerings Under Regulation A