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:

  1. Implement, interpret, or make specific a law enforced or administered by an agency, or
  2. 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
Amendments to Washington Small Business Retirement Marketplace Securities Open
Municipal Securities Exemption Securities Open
Expanding Definition of Precious Metal to Include Palladium and Copper Rulemaking Commodities Adopted
Electronic Delivery of Franchise Disclosure Documents Rulemaking Franchises Adopted
Franchise Disclosure Requirements Franchises Adopted
Investment Adviser Rules - Rulemaking Investment Advisers Adopted
Amending WAC 460-44A to Make Ministerial Updates to Account for Amendments to Federal Regulation D - Rulemaking Securities Adopted
Crowdfunding Rulemaking Securities Adopted
Investment Grade Securities Securities Adopted
Legend Disclosure Requirements Securities Adopted
Limited Offering Exemption and Crowdfunding Securities Adopted
Name Change from NASD to FINRA Rulemaking Securities Adopted
Notice Filing Requirements in Connection with Federal Crowdfunding Rules Securities Adopted
Repeal of Securities Act Policy Statement No. 4 Securities Adopted
Repeal of WAC 460-44A-505 Securities Adopted
Salespersons for Issuers – Termination of Registration Rulemaking Securities Adopted
Securities Registration Renewal Requirements Securities Adopted
Technical Updates to the Manual Exemption and Updating References to Securities Manuals Securities Adopted
Tier 2 Offerings Under Regulation A Securities Adopted
Updating Reference to Securities Manuals Contained in WAC 460-10A-160 Securities Adopted
Small Business Retirement Marketplace Small Business Adopted