Home > Policy > Regulatory Policy > State Rule Proposals

State Rule Proposals

November 20, 2008

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

November 20, 2008

November 17, 2008

The North Carolina Division of Securities Seeks Comments on Proposals

November 17, 2008

July 31, 2008

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

July 31, 2008

April 15, 2008

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

July 6, 2007

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

April 18, 2007

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

April 18, 2007

April 13, 2007

Iowa Insurance Division Notice of Intended Action

April 13, 2007

January 5, 2007

Proposed Amendments to Florida Administrative Code

January 5, 2007

June 23, 2006

Arizona Corporation Commission Files Notice of Final Rulemaking

June 23, 2006

June 8, 2006

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

June 8, 2006