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| Dept.: (6) STATE AUDITOR |
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Notice Files List
File Type |
Read File |
Summary |
MAR Issue |
Publish Date |
309a
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(Commissioner of Securities and Insurance) Notice of Public Hearing on Proposed Adoption, Amendment, and Transfer - Securities Regulation - Filings - Securities Exemptions - Fraudulent and Unethical Practices - Broker-Dealers and Investment Advisers - Transactional Exemption.
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#8 Notice Section |
4/30/2020 |
312a
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(Commissioner of Securities and Insurance) Notice of Adoption, Amendment, and Transfer - Securities Regulation - Filings - Securities Exemptions - Fraudulent and Unethical Practices - Broker-Dealers and Investment Advisers - Transactional Exemption.
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#20 Rule Section |
10/23/2020 |
Rule Actions List
Action Type |
Rule Nos. |
Adoption | I-->6.10.211, II-->6.10.308, |
Amendment | 6.10.101(A), 6.10.102(A), 6.10.208(A), 6.10.209(A), 6.10.210(A), 6.10.302(A), 6.10.305(A), 6.10.306(A), 6.10.401(A), 6.10.402(A), 6.10.501(A), 6.10.503(A), 6.10.504(A), 6.10.506(A), 6.10.507(A), 6.10.510(A), |
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