If you any questions, please contact the relevant securities regulator.
| Jurisdiction | Office Open to the Public? | CRD/IARD licensing delays? | Mail processing delays? | Electronic filing encouraged/ mandated? | Links to COVID-19 Regulatory Relief or Operational Information | When Did You, or When Do You Plan To, Return to Onsite Examinations? | Relief for Late Paper Filings of Offerings | Relief for Displaced Securities Professionals | Relief for Forms U4 Without Physical Signatures | Relief for State IA Annual ADV Update Extension | Contact for COVID-19 regulatory or operational questions |
| Alabama | No | No | Encouraged | Information | Yes | Yes | Yes | Yes | Joseph Borg 334-242-2984 |
||
| Alaska | Yes, by appointment only. | No | No | Encouraged | Information | Undetermined | Yes | Yes | Yes | Yes | Ann Sivulich 907-269-2090 |
| Arizona | Yes | No | No | Encouraged | N/A | Under Review | Yes | No | Yes | No | Mark Dinell 602-542-0626 |
| Arkansas | No | No | Information | Yes | N/A | Yes | Yes | Christian Olson 501-324-9260 |
|||
| California | Yes | No | No | Information | Remote exams currently taking place. On-site exams status under review. | Yes | Yes | Yes | Yes | Bret Ladine 866-275-2677 |
|
| Colorado | No | No | No | Encouraged | Information | Undetermined | Yes | Yes | Yes | Yes | David Cheval 303-894-2835 |
| Connecticut | No | No | Encouraged | Information | Under Review | Under Review | Under Review | Under Review | Cynthia Antanaitis 860-240-8233 |
||
| Jurisdiction | Office Open to the Public? | CRD/IARD licensing delays? | Mail processing delays? | Electronic filing encouraged/ mandated? | Links to COVID-19 Regulatory Relief or Operational Information | When Did You, or When Do You Plan To, Return to Onsite Examinations? | Relief for Late Paper Filings of Offerings | Relief for Displaced Securities Professionals | Relief for Forms U4 Without Physical Signatures | Relief for State IA Annual ADV Update Extension | Contact for COVID-19 regulatory or operational questions |
| Delaware | No | No | Information | Under Review | Yes | Yes | Yes | Jillian Lazar 302-577-5088 |
|||
| District of Columbia | No | Some. Encouraging communication by email. | Encouraged | Information | Remote exams except in certain cases. | Requests for waivers will be considered. | Yes | Yes | Upon showing, late filings will be allowed. | For licensing: Maurice Goff 202-442-4934 For securities offerings: James McManus 202-442-7826 |
|
| Florida | No | No | No | Mandated | Information | Under Review | Yes | N/A | Yes | Alisa Goldberg 850-410-9785 |
|
| Georgia | No | Yes | Mandated | Information | Yes | Yes | Yes | Yes | Noula Zaharis 404-313-8597 |
||
| Hawaii | Yes, 7:45 a.m. to 4;30 p.m. | No | No | Encouraged | Information | Under Review | No | No | Yes | No | Ty Nohara 808-586-2744 |
| Idaho | Yes | No | No | Information | Information | Yes | No | No | N/A | No | Patricia Highley 208-332-8077 |
| Illinois | Yes | No | USPS delivery may be delayed. | Encouraged | Information | Currently conducting limited on-site exams. | Requests for waivers will be considered. | Requests for waivers will be considered. | Yes | Yes | For registration, enforcement, general inquires email:Tanya Solov 312-793-3384. |
| Indiana | No | No | Encouraged | Information | Under Review | Yes | Yes | Yes | Daniel Spungen 317-234-2741 |
||
| Iowa | No | No | Information | Under Review | Under Review | Yes | Yes | Andrew Hartnett 515-281-4459 |
|||
| Jurisdiction | Office Open to the Public? | CRD/IARD licensing delays? | Mail processing delays? | Electronic filing encouraged/ mandated? | Links to COVID-19 Regulatory Relief or Operational Information | When Did You, or When Do You Plan To, Return to Onsite Examinations? | Relief for Late Paper Filings of Offerings | Relief for Displaced Securities Professionals | Relief for Forms U4 Without Physical Signatures | Relief for State IA Annual ADV Update Extension | Contact for COVID-19 regulatory or operational questions |
| Kansas | Yes | No | No | Encouraged | Information | May 3, 2021 | No | No | N/A | No | John Eichkorn 785-296-5203 |
| Kentucky | Yes | No | No | Information | July 1, 2021 | Yes | No | Yes | Yes | Marni Gibson 502-782-9053 |
|
| Louisiana | No | No | Information | Undetermined | Under Review | Under Review | Under Review | Under Review | Scott Jolly 225 925-4170 |
||
| Maine | No | No | Information | Yes | Yes | Yes | Yes | Judith Shaw 207-624-8555 |
|||
| Maryland | No | No | No | Encouraged | Information | Undetermined | Yes | Yes | Yes | Yes | Melanie Lubin 410-576-6365 |
| Massachusetts | Yes | No | No | Encouraged | Information | Undetermined | Contact Division | No | N/A | No | Email Diane Young-Spitzer 617-727-3548 |
| Michigan | No | No | Information Registrants unable to comply with regulatory requirements may submit a no-action request here. | Yes | Yes | Yes | Yes | Stephen Brey 517-335-5237 |
|||
| Minnesota | Yes, by appointment | No | No | Encouraged | Information | For more information visit: https://mn.gov/commerce/consumers/covid-19/ but note that an update to the information on this this website is pending but the peacetime emergency order impacting securities and franchises has ended. | Under Review | No | No | No | Jeremy Eiden |
| Mississippi | Yes | No | No | Encouraged | Information | Flexible for onsite examinations. Prefer onsite and will initially suggest that, but flexible to do remote (Zoom) exams, if needed. | No | Other | N/A | No | Jessica Leigh Long 601-359-1650 |
| Jurisdiction | Office Open to the Public? | CRD/IARD licensing delays? | Mail processing delays? | Electronic filing encouraged/ mandated? | Links to COVID-19 Regulatory Relief or Operational Information | When Did You, or When Do You Plan To, Return to Onsite Examinations? | Relief for Late Paper Filings of Offerings | Relief for Displaced Securities Professionals | Relief for Forms U4 Without Physical Signatures | Relief for State IA Annual ADV Update Extension | Contact for COVID-19 regulatory or operational questions |
| Missouri | Yes | No | No | No | Information | Under Review | Under Review | Under Review | No | David Minnick 573-751-4136 |
|
| Montana | No | No | Information | May 1, 2021 | No | No | No | No | Lynne Egan 406-459-8656 |
||
| Nebraska | Yes | No | No | Encouraged | Information | Under Review - On-site exams are determined on a case-by-case basis. | No | No | No | No | Claire McHenry 402-471-3445 |
| Nevada | No | No | Encouraged | Information | Under Review | Yes | Yes | Yes | Brett Olin 702-486-2475 |
||
| New Hampshire | Yes | No | No | No | Information | May 10, 2021 | No | Under Review | No | No | Barry Glennon 603-271-1463 |
| New Jersey | No | No | E-filing requested via scan of paper filing directed to: Email | Information | Yes | Yes | Yes | Yes | Amy Kopleton 973-504-3611 |
||
| New Mexico | No | Yes | Encouraged | Information | Yes | Yes | Yes | Yes | Benjamin Schrope 505-231-7467 |
||
| New York | Yes | Yes | Information | Yes | N/A | Yes | Yes | Ken Haim 212-416-8206 |
|||
| North Carolina | No | No | Information | Under Review | Under Review | Under Review | Under Review | Kevin Harrington 919-814-5500 |
|||
| Jurisdiction | Office Open to the Public? | CRD/IARD licensing delays? | Mail processing delays? | Electronic filing encouraged/ mandated? | Links to COVID-19 Regulatory Relief or Operational Information | When Did You, or When Do You Plan To, Return to Onsite Examinations? | Relief for Late Paper Filings of Offerings | Relief for Displaced Securities Professionals | Relief for Forms U4 Without Physical Signatures | Relief for State IA Annual ADV Update Extension | Contact for COVID-19 regulatory or operational questions |
| North Dakota | Yes, by appointment | No | No | Mandated | Information | No | N/A | Yes | Yes | Mike Daley 701-328-4701 |
|
| Ohio | No | No | Information | Yes | Yes | Yes | Yes | Andrea Seidt 614-644-7435 |
|||
| Oklahoma | Yes, by appointment only. | No | No | Encouraged | Information | Undetermined | Yes, on case by case basis | No | N/A | No | Melanie Hall 405-280-7700 |
| Oregon | No | No | Encouraged | Information | Under Review | Yes | Yes | Yes | Jacob Mundaden 503-947-7495 |
||
| Pennsylvania | No | No | Yes | E-filing request via scan of paper filing directed to: Email (for corp fin filings) and Email (for licensing). | Information | Under Review | No | No | No | No | Eric Pistilli 717-783-4243 |
| Puerto Rico | Yes, by appointment | No | Yes | Information | Conducting remote exams. Onsite exams undetermined. | Under Review | N/A | Yes | Yes | Damaris Mendoza Alejandro Blanco |
|
| Rhode Island | Yes | No | No | Encouraged | Information | July 1, 2021 | No | No | No | N/A | Don DeFedele 401-462-9586 |
| South Carolina | Yes, by appointment | No | No | Information | On a case-by-case basis. | Yes | N/A | Yes | Pam Kirkland 803-734-9916 |
||
| Jurisdiction | Office Open to the Public? | CRD/IARD licensing delays? | Mail processing delays? | Electronic filing encouraged/ mandated? | Links to COVID-19 Regulatory Relief or Operational Information | When Did You, or When Do You Plan To, Return to Onsite Examinations? | Relief for Late Paper Filings of Offerings | Relief for Displaced Securities Professionals | Relief for Forms U4 Without Physical Signatures | Relief for State IA Annual ADV Update Extension | Contact for COVID-19 regulatory or operational questions |
| South Dakota | No | No | Under Review | No | Yes | No | Travis Jordan 605-773-5603 |
||||
| Tennessee | Yes | Encouraged | Yes | Encouraged | Information | We are currently conducting limited onsite exams. | No | No | Yes | No | Elizabeth Bowling 615-770-0088 |
| Texas | Yes | No | No | Encouraged | Information | Under review, with no set timetable at this point as to when in-person field inspections will commence. | Yes | Yes | Yes | Yes | Travis Iles 512-305-8341 |
| Utah | Yes | No | No | Encouraged | Information | Under Review | Under Review | Under Review | Sabrina Afridi 801-530-6600 |
||
| Vermont | No | No | Information | In-Person, On-site examinations will commence in the third quarter of 2021. | Under Review | Under Review | Under Review | No | William Carrigan 802-828-4858 |
||
| Virginia | By advance appointment only. | No | No | Information | Yes. Being conducted now but on a limited basis. | Yes | N/A | Yes | Yes | Doug Joyce 804-371-9755 |
|
| Washington | No | No | Information | Under Review | Yes | Yes | Yes | Kristen Standifer 360-902-8746 |
|||
| West Virginia | No | No | Information | Yes | Yes | Yes | Yes | Lisa Ann Hopkins 304-444-1069 |
|||
| Wisconsin | No | No | Encouraged | Information | Yes, on a case-by-case basis. | No | N/A | Yes, on a case-by-case basis. | Email 608-266-2139 |
||
| Wyoming | No | No | Information | Under Review | Yes | Under Review | Under Review | Under Review | Kelly Janes 307-777-6621 |
||
