NASAA Member COVID-19 Regulatory Response Overview

If you any questions, please contact the relevant securities regulator.

         
JurisdictionOffice Open to the Public?CRD/IARD licensing delays?Mail processing delays?Electronic filing encouraged/
mandated?

Links to COVID-19 Regulatory Relief or Operational InformationWhen Did You, or When Do You Plan To, Return to Onsite Examinations?Relief for Late Paper Filings of OfferingsRelief for Displaced Securities Professionals Relief for Forms U4 Without Physical SignaturesRelief for State IA Annual ADV Update
Extension

Contact for COVID-19 regulatory or operational questions
AlabamaNoNoEncouragedInformationYesYesYesYesJoseph Borg
334-242-2984
AlaskaYes, by appointment only.NoNoEncouragedInformationUndetermined YesYesYesYesAnn Sivulich
907-269-2090
ArizonaYesNoNoEncouragedN/AUnder ReviewYesNoYesNoMark Dinell
602-542-0626
ArkansasNoNoInformationYesN/AYesYesChristian Olson
501-324-9260
CaliforniaYesNoNoInformationRemote exams currently taking place. On-site exams status under review.YesYesYesYesBret Ladine
866-275-2677
ColoradoNoNoNoEncouragedInformationUndeterminedYesYesYesYesDavid Cheval
303-894-2835
ConnecticutNoNoEncouragedInformationUnder ReviewUnder ReviewUnder ReviewUnder ReviewCynthia Antanaitis
860-240-8233
JurisdictionOffice Open to the Public?CRD/IARD licensing delays?Mail processing delays?Electronic filing encouraged/
mandated?

Links to COVID-19 Regulatory Relief or Operational InformationWhen Did You, or When Do You Plan To, Return to Onsite Examinations?Relief for Late Paper Filings of OfferingsRelief for Displaced Securities Professionals Relief for Forms U4 Without Physical SignaturesRelief for State IA Annual ADV Update
Extension

Contact for COVID-19 regulatory or operational questions
DelawareNoNoInformationUnder ReviewYesYesYesJillian Lazar
302-577-5088
District of ColumbiaNoSome. Encouraging communication by email.EncouragedInformationRemote exams except in certain cases.Requests for waivers will be considered.YesYesUpon showing, late filings will be allowed.For licensing: Maurice Goff
202-442-4934
For securities offerings: James McManus
202-442-7826
FloridaNoNoNoMandatedInformationUnder ReviewYesN/AYesAlisa Goldberg
850-410-9785
GeorgiaNoYesMandatedInformationYesYesYesYesNoula Zaharis
404-313-8597
HawaiiYes,
7:45 a.m. to 4;30 p.m.
NoNoEncouragedInformationUnder ReviewNoNoYesNoTy Nohara
808-586-2744
IdahoYesNoNoInformationInformationYesNoNoN/ANoPatricia Highley
208-332-8077
IllinoisYesNoUSPS delivery may be delayed.EncouragedInformationCurrently conducting limited on-site exams.Requests for waivers will be considered.Requests for waivers will be considered.YesYesFor registration, enforcement, general inquires email:Tanya Solov
312-793-3384.
IndianaNoNoEncouragedInformationUnder ReviewYesYesYesDaniel Spungen
317-234-2741
IowaNoNoInformationUnder ReviewUnder ReviewYesYesAndrew Hartnett
515-281-4459
JurisdictionOffice Open to the Public?CRD/IARD licensing delays?Mail processing delays?Electronic filing encouraged/
mandated?

Links to COVID-19 Regulatory Relief or Operational InformationWhen Did You, or When Do You Plan To, Return to Onsite Examinations?Relief for Late Paper Filings of OfferingsRelief for Displaced Securities Professionals Relief for Forms U4 Without Physical SignaturesRelief for State IA Annual ADV Update
Extension

Contact for COVID-19 regulatory or operational questions
KansasYesNoNoEncouragedInformationMay 3, 2021NoNoN/ANoJohn Eichkorn
785-296-5203
KentuckyYesNoNoInformationJuly 1, 2021YesNoYesYesMarni Gibson
502-782-9053
LouisianaNoNoInformationUndeterminedUnder ReviewUnder ReviewUnder ReviewUnder ReviewScott Jolly
225 925-4170
MaineNoNoInformationYesYesYesYesJudith Shaw
207-624-8555
MarylandNoNoNoEncouragedInformationUndeterminedYesYesYesYesMelanie Lubin
410-576-6365
MassachusettsYesNoNoEncouragedInformationUndeterminedContact DivisionNoN/ANoEmail
Diane Young-Spitzer
617-727-3548
MichiganNoNoInformation
Registrants unable to comply with regulatory requirements may submit a no-action request here.
YesYesYesYesStephen Brey
517-335-5237
MinnesotaYes, by appointmentNoNoEncouragedInformationFor 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 ReviewNoNoNoJeremy Eiden
MississippiYesNoNoEncouragedInformationFlexible for onsite examinations. Prefer onsite and will initially suggest that, but flexible to do remote (Zoom) exams, if needed.NoOtherN/ANoJessica Leigh Long
601-359-1650
JurisdictionOffice Open to the Public?CRD/IARD licensing delays?Mail processing delays?Electronic filing encouraged/
mandated?

Links to COVID-19 Regulatory Relief or Operational InformationWhen Did You, or When Do You Plan To, Return to Onsite Examinations?Relief for Late Paper Filings of OfferingsRelief for Displaced Securities Professionals Relief for Forms U4 Without Physical SignaturesRelief for State IA Annual ADV Update
Extension

Contact for COVID-19 regulatory or operational questions
MissouriYesNoNoNoInformationUnder ReviewUnder ReviewUnder ReviewNoDavid Minnick
573-751-4136
MontanaNoNoInformationMay 1, 2021NoNoNoNoLynne Egan
406-459-8656
NebraskaYes NoNoEncouragedInformationUnder Review - On-site exams are determined on a case-by-case basis. NoNoNoNoClaire McHenry
402-471-3445
NevadaNoNoEncouragedInformationUnder ReviewYesYesYesBrett Olin
702-486-2475
New HampshireYesNoNoNoInformationMay 10, 2021NoUnder ReviewNoNoBarry Glennon
603-271-1463
New JerseyNoNoE-filing requested via scan of paper filing directed to: Email InformationYesYesYesYesAmy Kopleton
973-504-3611
New MexicoNoYesEncouragedInformationYesYesYesYesBenjamin Schrope
505-231-7467
New YorkYesYesInformationYesN/AYesYesKen Haim
212-416-8206
North CarolinaNoNoInformationUnder ReviewUnder ReviewUnder ReviewUnder ReviewKevin Harrington
919-814-5500
JurisdictionOffice Open to the Public?CRD/IARD licensing delays?Mail processing delays?Electronic filing encouraged/
mandated?

Links to COVID-19 Regulatory Relief or Operational InformationWhen Did You, or When Do You Plan To, Return to Onsite Examinations?Relief for Late Paper Filings of OfferingsRelief for Displaced Securities Professionals Relief for Forms U4 Without Physical SignaturesRelief for State IA Annual ADV Update
Extension

Contact for COVID-19 regulatory or operational questions
North DakotaYes, by appointmentNoNoMandatedInformationNoN/AYesYesMike Daley
701-328-4701
OhioNoNoInformationYesYesYesYesAndrea Seidt
614-644-7435
OklahomaYes, by appointment only.NoNoEncouragedInformationUndeterminedYes, on case by case basisNoN/ANoMelanie Hall
405-280-7700
OregonNoNoEncouragedInformationUnder ReviewYesYesYesJacob Mundaden
503-947-7495
PennsylvaniaNoNoYesE-filing request via scan of paper filing directed to: Email (for corp fin filings) and Email (for licensing).

InformationUnder ReviewNoNoNoNoEric Pistilli
717-783-4243
Puerto RicoYes, by appointmentNoYesInformationConducting remote exams. Onsite exams undetermined.Under ReviewN/AYesYesDamaris Mendoza
Alejandro Blanco
Rhode IslandYesNoNoEncouragedInformationJuly 1, 2021NoNoNoN/ADon DeFedele
401-462-9586
South CarolinaYes, by appointmentNoNoInformationOn a case-by-case basis.YesN/AYesPam Kirkland
803-734-9916
JurisdictionOffice Open to the Public?CRD/IARD licensing delays?Mail processing delays?Electronic filing encouraged/
mandated?

Links to COVID-19 Regulatory Relief or Operational InformationWhen Did You, or When Do You Plan To, Return to Onsite Examinations?Relief for Late Paper Filings of OfferingsRelief for Displaced Securities Professionals Relief for Forms U4 Without Physical SignaturesRelief for State IA Annual ADV Update
Extension

Contact for COVID-19 regulatory or operational questions
South DakotaNoNoUnder ReviewNoYesNoTravis Jordan
605-773-5603
TennesseeYesEncouragedYesEncouragedInformationWe are currently conducting limited onsite exams.NoNoYesNoElizabeth Bowling
615-770-0088
TexasYesNoNoEncouragedInformationUnder review, with no set timetable at this point as to when in-person field inspections will commence.YesYesYesYesTravis Iles
512-305-8341
UtahYesNoNoEncouragedInformationUnder ReviewUnder ReviewUnder ReviewSabrina Afridi
801-530-6600
VermontNoNoInformationIn-Person, On-site examinations will commence in the third quarter of 2021.Under ReviewUnder ReviewUnder ReviewNoWilliam Carrigan
802-828-4858
VirginiaBy advance appointment only.NoNoInformationYes. Being conducted now but on a limited basis.YesN/AYesYesDoug Joyce
804-371-9755
WashingtonNoNoInformationUnder ReviewYesYesYesKristen Standifer
360-902-8746

West VirginiaNoNoInformationYesYesYesYesLisa Ann Hopkins
304-444-1069
WisconsinNoNoEncouragedInformationYes, on a case-by-case basis.NoN/AYes, on a case-by-case basis.Email
608-266-2139
WyomingNoNoInformationUnder ReviewYesUnder ReviewUnder ReviewUnder ReviewKelly Janes
307-777-6621