Rule Review

2018-2020 cycle completed

Proposed Review of Chapters

• September 2018: Chapter 101, General Administration; Chapter 103, Rulemaking Procedure; and Chapter 104, Procedure for Review of Applications
• December 2018: 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 2019: Chapter 105, Rules of Practice in Contested Cases; and Chapter 106, Guidelines for Assessment of Administrative Fines
• June 2019: Chapter 107, Terminology; Chapter 127, Miscellaneous; and Chapter 131, Guidelines for Confidentiality of Information
• September 2019: Chapter 109, Transactions Exempt from Registration; Chapter 111, Securities Exempt from Registration; and Chapter 139, Exemptions by Rule or Order
• December 2019: Chapter 133, Forms
• March 2020: Chapter 115, Securities Dealers and Agents; and Chapter 116, Investment Advisers and Investment Adviser Representatives

Readoption of Chapters

• December 2018: Chapter 101, General Administration; Chapter 103, Rulemaking Procedure; and Chapter 104, Procedure for Review of Applications
• August 2019: 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
• August 2019: Chapter 105, Rules of Practice in Contested Cases; and Chapter 106, Guidelines for Assessment of Administrative Fines
• August 2019: Chapter 107, Terminology; Chapter 127, Miscellaneous; and Chapter 131, Guidelines for Confidentiality of Information
• October 2019: Chapter 109, Transactions Exempt from Registration; Chapter 111, Securities Exempt from Registration; and Chapter 139, Exemptions by Rule or Order
• February 2020: Chapter 133, Forms
• June 2020: Chapter 115, Securities Dealers and Agents; and Chapter 116, Investment Advisers and Investment Adviser Representatives

The next scheduled Rule Review cycle will begin in September 2022.