Rule Review

2022-2024 cycle

Proposed Review of Chapters

September 2022: Chapter 101, General Administration; Chapter 103, Rulemaking Procedure; and Chapter 104, Procedure for Review of Applications
December 2022: Chapter 113, Registration of Securities; Chapter 114, Federal Covered Securities; Chapter 123, Administrative Guidelines for Registration of Open-End Investment Companies; Chapter 125, Minimum Disclosures in Church and Nonprofit Institution Bond Issues; Chapter 135, Industrial Development Corporations and Authorities; and Chapter 137, Administrative Guidelines for Regulation of Offers
March 2023: Chapter 105, Rules of Practice in Contested Cases; and Chapter 106, Guidelines for the Assessment of Administrative Fines
June 2023: Chapter 102, Complaint Process; Chapter 107, Terminology; Chapter 127, Miscellaneous; and Chapter 131, Guidelines for Confidentiality of Information
September 2023: Chapter 109, Transactions Exempt from Registration; Chapter 111, Securities Exempt from Registration; and Chapter 139, Exemptions by Rule or Order
December 2023: Chapter 133, Forms
March 2024: Chapter 115, Securities Dealers and Agents; and Chapter 116, Investment Advisers and Investment Adviser Representatives

Readoption of Chapters