To date, all state divisions of securities regulators remain open for business. However, in most cases, in-person meetings are temporarily suspended. Additionally, some states are providing relief with respect to signature, registration, or filing requirements for broker-dealers, investment advisors, agents, and representatives. Among the states providing such relief are West Virginia, Colorado, Kentucky, and Texas. The North American Securities Administrators Association (NASAA) has created a page on its website that provides daily COVID-19 updates from state and provincial securities regulators. NASAA’s page where you can find the latest update for your state.
State Securities Compliance Relief in the Wake of COVID-19
Friday, April 10, 2020
Current Public Notices
Published: 17 December, 2024
Published: 16 December, 2024
Published: 9 December, 2024
Published: 9 December, 2024
Published: 18 September, 2024
Published: 17 September, 2024
Published: 10 September, 2024
Published: 9 July, 2024