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Policy Statements Of The Commissioner
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Automatic Registration of Partners, Officers and Directors of Broker Dealers |
July 1980 |
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Zero Coupon Bond Promotions |
November 29, 1989 |
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Discount Brokerage Services Offered by Banks |
July 9, 1993 |
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Examination Requirements for Investment Advisers and Investment Adviser Representatives |
January 18, 1995 |
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Advertising Literature |
July 1, 1996 |
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Agent of Issuer Registration |
July 1, 1996 |
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Filing of Registration Statement and Notice of Intention to Sell |
July 8, 1996 |
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Uniform Combined State Law Exam (Series 66) |
August 15, 1996 |
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Agent of Issuer Registration, Amended |
July 1, 1997 |
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Automatic Registration of Partners, Officers and Directors of Investment Advisers |
July 10, 1997 |
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Internet Usage |
October 31, 1997 |
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Shelf Registration Sales Report Requirement |
February 15, 1999 |
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Administrative Regulation Section 9 |
July 17, 2007 |
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Administrative Regulation Section 15.03 |
November 26, 2007 |
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Chapter 36, Article 9, Sections 6(d) & 24 |
November 27, 2007 |
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Annual Filing of Financial Statements by Broker-Dealers |
March 3, 2008 |
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Active Military Reserve Refunds |
May 1, 2008 |
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General Securities Offerings |
May 15, 2008 |
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Assignment of Order Identification Numbers |
June 26, 2008 |
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Senior-Specific Certifications/Professional Designations |
June 16, 2008 |
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Refund Policy |
August 4, 2008 |
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Joint Statement of Policy on Variable Annuities |
August 21, 2008 |
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Definition of “Institutional Buyer” |
September 3, 2008 |
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Freedom of Information Act Request Fee Structure |
September 3, 2008 |
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Corporate Securities Definitions |
November 13, 2008 |
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Impoundment of Proceeds |
November 13, 2008 |
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Unsound Financial Conditions |
February 18, 2009 |
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Real Estate Investment Trusts |
June 2, 2009 |
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Loans and Other Material Affiliated Transactions |
September 29, 2009 |
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Specificity in Use of Proceeds |
September 29, 2009 |
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Unequal Voting Rights |
September 29, 2009 |
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Definition of “Institutional Buyer” (Amended) |
November 9, 2009 |
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Requirements for Cover Legends |
May 19, 2010 |
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Registration of Commodity Pool Programs |
May 19, 2010 |
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Dishonest and Unethical Business Practices |
June 10, 2010 |
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Corporate Securities Definitions, Amended |
June 24, 2010 |
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Debt Securities |
June 24, 2010 |
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Chapter 32, Sections 305(m) and (n) of the Act |
June 28, 2010 |
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Options and Warrants |
June 28, 2010 |
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Preferred Stock |
June 28, 2010 |
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Promoter’s Equity Investment |
June 28, 2010 |
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Promotional Shares |
June 28, 2010 |
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Underwriting Expenses, Underwriters Warrants, Selling Expenses and Selling Security Holders |
June 28, 2010 |
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Mandatory Written Code of Ethics for Investment Advisers |
April 25, 2011 |
Disclaimer
The West Virginia Securities Commission uses links to other Web sites for the
convenience of the user. Whenever you click on links provided, you are leaving
the West Virginia Securities Commission and entering an external site. The
Security Commission cannot attest to the accuracy of the information provided by
the external linked sites, nor does the Securities Commission endorse any
products or information obtained from these external sites.
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