wv-wv-18597: 111-01 — West Virginia Securities Rules and Regulations

7/1/2026 3:01:56 PM Office of West Virginia Secretary Of State NOTICE OF PUBLIC COMMENT PERIOD AGENCY: Securities Commission TITLE-SERIES: 111-01 RULE TYPE: Legislative Amendment to Existing Rule: Yes Repeal of existing rule:No RULE NAME: West Virginia Securities Rules and Regulations CITE STATUTORY AUTHORITY: 32-4-41(2) COMMENTS LIMITED TO: Written DATE OF PUBLIC HEARING: LOCATION OF PUBLIC HEARING: DATE WRITTEN COMMENT PERIOD ENDS: 07/31/2026 9:00 AM COMMENTS MAY BE MAILED OR EMAILED TO: NAME: Barbara L Wolfe 1900 Kanawha Blvd. E. Capitol Complex, Building 1, Room W-100, Charleston, WV 25305 ADDRESS: Charleston, WV 25304 4004 MacCorkle Avenue, SE, (Kanawha City) Charleston, WV 25304 EMAIL: barbara.wolfe@wvsao.gov PLEASE INDICATE IF THIS FILING INCLUDES: RELEVANT FEDERAL STATUTES OR REGULATIONS: No (IF YES, PLEASE UPLOAD IN THE SUPPORTING DOCUMENTS FIELD) No INCORPORATED BY REFERENCE: (IF YES, PLEASE UPLOAD IN THE SUPPORTING DOCUMENTS FIELD) PROVIDE A BRIEF SUMMARY OF THE CONTENT OF THE RULE: Practices and procedures, definitions, filing information. SUMMARIZE IN A CLEAR AND CONCISE MANNER CONTENTS OF CHANGES IN THE RULE AND A STATEMENT OF CIRCUMSTANCES REQUIRING THE RULE: General, Rules of Practice and Procedure, Registration and broker-dealer filing, Definitions and Rules. SUMMARIZE IN A CLEAR AND CONCISE MANNER THE OVERALL ECONOMIC IMPACT OF THE PROPOSED RULE: A. ECONOMIC IMPACT ON REVENUES OF STATE GOVERNMENT: Not at this time. B. ECONOMIC IMPACT ON SPECIAL REVENUE ACCOUNTS: Not at this time. C. ECONOMIC IMPACT OF THE RULE ON THE STATE OR ITS RESIDENTS: Not at this time. D. FISCAL NOTE DETAIL: Effect of Proposal Fiscal Year 2026 2027 Fiscal Year (Upon Increase/Decrease Increase/Decrease Full (use "-") (use "-") Implementation) 1. Estimated Total Cost Personal Services Current Expenses Repairs and Alterations Assets Other 2. Estimated Total Revenues E EXPLANATION OF ABOVE ESTIMATES (INCLUDING LONG-RANGE EFFECT): Not at this time. BY CHOOSING 'YES', I ATTEST THAT THE PREVIOUS STATEMENT IS TRUE AND CORRECT. Yes Barbara L Wolfe--By my signature, I certify that I am the person authorized to file legislative rules, in accordance with West Virginia Code §29A-3-11 and §39A-3-2.