Technical Updates to the Manual Exemption and Updating References to Securities Manuals

Industry: 
Securities
Rulemaking Status: 
Adopted

The Securities Division has amended WAC 460-10A, 460-42A, and 460-44A to make technical updates to the manual exemption, and to update references to securities manuals and rating agencies.

The amendments adopted by the Division more closely align the manual exemption in WAC 460-44A-100 with Section 202(2) of the Uniform Securities Act of 2002, and update our rules in light of the discontinuation of Standard and Poor’s Corporation Records and the availability of information through online sources. It also corrects references to certain credit rating agencies which have undergone structural changes.

Questions concerning this rule-making notice may be directed to Dan Matthews at dan.matthews@dfi.wa.gov or (360) 902-8785.