Novel Coronavirus COVID-19 Updates
NASAA has established this resource page to collect COVID-19-related updates from state and provincial securities regulators. At this time, NASAA is not aware of any state or provincial securities regulator that is not providing services. If you any questions, please contact the relevant state or provincial securities regulator. Contact information is available here.
UPDATES
Florida
New Jersey
Temporary Relief for Registrants Affected by the COVID-19 Outbreak
New Jersey Takes Steps to Facilitate Social Distancing Among Financial Professionals
New York
Oklahoma
Oklahoma Securities Commission Operations Update
Massachusetts
Temporary Relief for Registrants Affected by the COVID-19 Outbreak
Indiana
Temporary Relief for Registrants Affected by the COVID-19 Outbreak
Indiana Securities Division Response to the COVID-19 Outbreak
Maine
Temporary Relief for Registrants Affected by the COVID-19 Outbreak
New Mexico
Temporary Relief for Registrants Affected by the COVID-19 Outbreak
New Mexico Securities Divsion Operation Update
Washington
Temporary Relief for Registrants Affected by the COVID-19 Outbreak
Kentucky
Temporary Relief for Registrants Affected by the COVID-19 Outbreak
West Virginia
Temporary Relief for Registrants Affected by the COVID-19 Outbreak
Nebraska
Guidance for Investment Advisers, Broker-Dealers, Investment Adviser Representatives, and Agents
Alabama
Nova Scotia
Temporary Relief for Investment Funds
Connecticut
Interim Guidance on Paperless Submission of Investment Company Filings
Colorado
Temporary Relief for Registrants Affected by the COVID-19 Outbreak
Nebraska
Emergency Order Granting Temporary Relief
Order Temporarily Mandating Electronic Filings
Florida
OFR Issues Consumer Finance Guidance and Extends License Renewal Deadlines Due to COVID-19
Wisconsin
Temporary Relief for Registrants Affected by the COVID-19 Outbreak
Hawaii
DCCA Encourages Use of Online Services
Michigan
Department of Licensing and Regulatory Affairs Lobby Closures
South Carolina
Temporary Relief for Registrants Affected by the COVID-19 Outbreak
Canadian Securities Administrators
Canadian securities regulators to provide blanket relief for market participants due to COVID-19
In light of recent COVID-19 developments and their impact on market participants, the Canadian Securities Administrators (CSA) will provide temporary relief from some regulatory filings required to be made on or before June 1, 2020.
Georgia
Virginia
Order Extending Franchise Renewal Deadlines
Order Extending Trademark and Service Mark Renewal Deadlines
Maryland
Georgia
Vermont
DFR Telework for Employees
As of Friday, the vast majority of our department staff was directed to work remotely from home. A small contingent of employees will be in the office to ensure specific essential functions continue to occur, such as coordinating our COVID-19 response, receiving the mail, and processing checks. We expect this schedule to remain in effect until March 31, 2020, but it could be revised based on guidance from the Governor. Read the full letter from Commissioner Pieciak.
Deadline Extension for Firms to File Annual Form ADV Amendment
Due to circumstances that a Vermont state-registered investment advisor may be experiencing related to the current or potential effects of COVID-19, the Department of Financial Regulation has extended the deadline for firms to file their annual Form ADV amendment to April 30, 2020. Please do not hesitate to contact the Securities Division if you have any questions.
Canadian Securities Administrators
Canadian securities regulators provide update on COVID-19 and potential filing delays by reporting issuers
