If you any questions, please contact the relevant securities regulator.
| Jurisdiction | Staff Available by Phone/Email | 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 | 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 | Yes | No | No | Encouraged | Information | Yes | Yes | Yes | Yes | Joseph Borg 334-242-2984 |
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| Alaska | Yes | No | No | Information | Yes | Yes | Yes | Yes | Ann Sivulich 907-269-2090 |
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| Arizona | Yes | No | No | Encouraged | Information | Yes | No | Yes | No | Mark Dinell 602-542-0626 |
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| Arkansas | Yes | No | No | Information | Yes | N/A | Yes | Yes | Christian Olson 501-324-9260 |
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| California | Yes | Yes | No | No | Information | Yes | Yes | Yes | Yes | Bret Ladine 866-275-2677 |
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| Colorado | Yes | No | No | Information | Yes | Yes | Yes | Yes | David Cheval 303-894-2835 |
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| Connecticut | Yes | No | No | Encouraged | Information | Under Review | Under Review | Under Review | Under Review | Cynthia Antanaitis 860-240-8233 |
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| Jurisdiction | Staff Available by Phone/Email | 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 | 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 | Yes | No | No | Information | Under Review | Yes | Yes | Yes | Jillian Lazar 302-577-5088 |
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| District of Columbia | Yes | No | Some. Encouraging communication by email. | Encouraged | Information | 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 |
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| Florida | Yes | No | No | Mandated | Information | Under Review | Yes | N/A | Yes | Alisa Goldberg 850-410-9785 |
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| Georgia | Yes | No | Yes | Mandated | Information | Yes | Yes | Yes | Yes | Noula Zaharis 404-313-8597 |
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| Hawaii | Yes | Yes, 7:45 a.m. to 12 p.m. | No | Yes | Encouraged | Information | Under Review | No | Yes | Under Review | Ty Nohara 808-586-2744 |
| Idaho | Yes | Yes, by appointment | No | No | Information | Yes | Yes | N/A | Yes | Patricia Highley 208-332-8077 |
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| Illinois | Yes | Yes, by appointment | No | Yes | Encouraged | Information | Under Review | Under Review | Yes | Yes | Tanya Solov 312-793-3384. For registration, enforcement, general inquiries: Email |
| Indiana | Yes | No | No | Encouraged | Information | Under Review | Yes | Yes | Yes | Daniel Spungen 317-234-2741 |
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| Iowa | Yes | No | No | Information | Under Review | Under Review | Yes | Yes | Andrew Hartnett 515-281-4459 |
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| Jurisdiction | Staff Available by Phone/Email | 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 | 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 | Yes, by appointment | No | Yes | Encouraged | Information | No | No | N/A | No | John Eichkorn 785-296-5203 |
| Kentucky | Yes | No | No | Information | Yes | No | Yes | Yes | Marni Gibson 502-782-9053 |
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| Louisiana | Yes | No | No | Information | Under Review | Under Review | Under Review | Under Review | Scott Jolly 225 925-4170 |
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| Maine | Yes | No | No | Information | Yes | Yes | Yes | Yes | Judith Shaw 207-624-8555 |
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| Maryland | Yes | No | No | Information | Yes | Yes | Yes | Yes | Melanie Lubin 410-576-6365 |
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| Massachusetts | Yes | No | No | Corporation Finance e-filings temporarily allowed. | Information | Under Review | Under Review | Yes | Yes | Email Diane Young-Spitzer 617-727-3548 |
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| Michigan | Yes | No | Yes | Information Registrants unable to comply with regulatory requirements may submit a no-action request here. | Yes | Yes | Yes | Yes | Stephen Brey 517-335-5237 |
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| Minnesota | Yes | Yes, by appointment | No | No | Encouraged | Information | Yes | Yes | Yes | Yes | Annette Minor |
| Mississippi | Yes | Yes, by appointment | No | No | Encouraged | Information | Under Review | Other | N/A | No | Jessica Leigh Long 601-359-1650 |
| Jurisdiction | Staff Available by Phone/Email | 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 | 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 | Yes, by appointment | No | No | Encouraged | Information | Under Review | Under Review | Under Review | No | David Minnick 573-751-4136 |
| Montana | Yes | No | No | Information | Yes | Yes | Yes | Yes | Lynne Egan 406-459-8656 |
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| Nebraska | Yes | Yes, by appointment | No | No | Temporary e-filing mandate | Information | Yes | Yes | Yes | Yes | Claire McHenry 402-471-3445 |
| Nevada | Yes | No | No | Encouraged | Information | Under Review | Yes | Yes | Yes | Brett Olin 702-486-2475 |
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| New Hampshire | Yes | No | No | Information | Yes | Under Review | Yes | Yes | Barry Glennon 603-271-1463 |
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| New Jersey | Yes | No | No | E-filing requested via scan of paper filing directed to: Email | Information | Yes | Yes | Yes | Yes | Amy Kopleton 973-504-3611 |
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| New Mexico | Yes | No | Yes | Encouraged | Information | Yes | Yes | Yes | Yes | Krystal Montano 505-660-4178 |
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| New York | Yes | Yes | Yes | Information | Yes | N/A | Yes | Yes | Ken Haim 212-416-8206 |
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| North Carolina | Yes | No | No | Information | Under Review | Under Review | Under Review | Under Review | Kevin Harrington 919-814-5500 |
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| Jurisdiction | Staff Available by Phone/Email | 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 | 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 | Yes, by appointment | No | No | Mandated | Information | No | N/A | Yes | Yes | Mike Daley 701-328-4701 |
| Ohio | Yes | No | No | Information | Yes | Yes | Yes | Yes | Andrea Seidt 614-644-7435 |
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| Oklahoma | Yes | No | No | Encouraged | Information | Yes, on case by case basis | No | N/A | Yes | Melanie Hall 405-280-7700 |
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| Oregon | Yes | No | No | Encouraged | Information | Under Review | Yes | Yes | Yes | Jacob Mundaden 503-947-7495 |
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| Pennsylvania | Yes | No | Yes | E-filing request via scan of paper filing directed to: Email (for corp fin filings) and Email (for licensing). | Information | No (Under Review) | Yes | Yes | Yes | Eric Pistilli 717-783-4243 |
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| Puerto Rico | Yes | Yes, by appointment | No | Yes | Information | Under Review | N/A | Yes | Yes | Damaris Mendoza Alejandro Blanco |
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| Rhode Island | Yes | No | No | Encouraged | Information | On a case-by-case basis. | Yes | Yes | Yes | Don DeFedele 401-462-9586 |
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| South Carolina | Yes | Yes, by appointment | No | No | Information | On a case-by-case basis. | Yes | N/A | Yes | Pam Kirkland 803-734-9916 |
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| Jurisdiction | Staff Available by Phone/Email | 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 | 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 | Yes | No | No | Encouraged | Information | Under Review | No | Yes | No | Travis Jordan 605-773-5603 |
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| Tennessee | Yes | No | No | Information | Under Review | Yes | N/A | Under Review | Elizabeth Bowling 615-770-0088 |
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| Texas | Yes | No | No | Encouraged | Information | Yes | Yes | Yes | Yes | Travis Iles 512-305-8341 |
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| Utah | Yes | No | No | Encouraged | Information | Under Review | Under Review | Under Review | Sabrina Afridi 801-530-6600 |
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| Vermont | Yes | No | No | Information | Under Review | Under Review | Under Review | Yes | William Carrigan 802-828-4858 |
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| Virginia | Yes | No | No | Information | Yes | N/A | Yes | Yes | Doug Joyce 804-371-9755 |
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| Washington | Yes | No | No | Information | Under Review | Yes | Yes | Yes | Bill Beatty 360-902-8723 |
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| West Virginia | Yes | No | No | Information | Yes | Yes | Yes | Yes | Lisa Ann Hopkins 304-444-1069 |
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| Wisconsin | Yes | 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 |
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| Wyoming | Yes | No | No | Information | Yes | Under Review | Under Review | Under Review | Kelly Janes 307-777-6621 |
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