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State Securities Compliance Relief in the Wake of COVID-19
Friday, April 10, 2020

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.

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