Securities Rulemaking Docket
Rulemaking is the process government agencies must use to create, modify, or repeal rules in the Washington Administrative Code (WAC).
Rules are regulations, standards, or other statements of general applicability adopted by an agency to either:
- Implement, interpret, or make specific a law enforced or administered by an agency, or
- Prescribe or interpret an agency policy, procedure or practice requirement binding on persons outside the agency.
Rules are valid and binding on the persons they affect, and have the force of law unless amended, revised, or unless a court of competent jurisdiction determines otherwise.
|Rulemaking Subject||Industry||Rulemaking Status|
|Electronic Filing Depository Requirements||Securities||Open|
|Franchise Electronic System Filing Requirements||Securities||Open|
|Ministerial Updates to Exempt Transaction Rules||Securities||Open|
|Municipal Securities Exemption||Securities||Open|
|NASAA Statements of Policy||Securities||Open|
|Amendments to Washington Small Business Retirement Marketplace||Securities||Adopted|
|Investment Adviser and Broker-Dealer Fees||Securities||Adopted|
|Investment Adviser Rules - Amendments||Securities||Adopted|
|Limited Offering Exemption and Crowdfunding||Securities||Adopted|