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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


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.



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