NASAA Member COVID-19 Regulatory Response Overview

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

         
JurisdictionStaff Available by Phone/EmailOffice Open to the Public?CRD/IARD licensing delays?Mail processing delays?Electronic filing encouraged/
mandated?

Links to COVID-19 Regulatory Relief or Operational InformationRelief 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
AlabamaYesNoNoEncouragedInformationYesYesYesYesJoseph Borg
334-242-2984
AlaskaYesNoNoInformationYesYesYesYesAnn Sivulich
907-269-2090
ArizonaYesNoNoEncouragedInformationYesNoYesNoMark Dinell
602-542-0626
ArkansasYesNoNoInformationYesN/AYesYesChristian Olson
501-324-9260
CaliforniaYesYesNoNoInformationYesYesYesYesBret Ladine
866-275-2677
ColoradoYesNoNoInformationYesYesYesYesDavid Cheval
303-894-2835
ConnecticutYesNoNoEncouragedInformationUnder ReviewUnder ReviewUnder ReviewUnder ReviewCynthia Antanaitis
860-240-8233
JurisdictionStaff Available by Phone/EmailOffice Open to the Public?CRD/IARD licensing delays?Mail processing delays?Electronic filing encouraged/
mandated?

Links to COVID-19 Regulatory Relief or Operational InformationRelief 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
DelawareYesNoNoInformationUnder ReviewYesYesYesJillian Lazar
302-577-5088
District of ColumbiaYesNoSome. Encouraging communication by email.EncouragedInformationRequests 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
FloridaYesNoNoMandatedInformationUnder ReviewYesN/AYesAlisa Goldberg
850-410-9785
GeorgiaYesNoYesMandatedInformationYesYesYesYesNoula Zaharis
404-313-8597
HawaiiYesYes,
7:45 a.m. to 12 p.m.
NoYesEncouragedInformationUnder ReviewNoYesUnder ReviewTy Nohara
808-586-2744
IdahoYesYes, by appointmentNoNoInformationYesYesN/AYesPatricia Highley
208-332-8077
IllinoisYesYes, by appointmentNoYesEncouragedInformationUnder ReviewUnder ReviewYesYesTanya Solov
312-793-3384.
For registration, enforcement, general inquiries: Email
IndianaYesNoNoEncouragedInformationUnder ReviewYesYesYesDaniel Spungen
317-234-2741
IowaYesNoNoInformationUnder ReviewUnder ReviewYesYesAndrew Hartnett
515-281-4459
JurisdictionStaff Available by Phone/EmailOffice Open to the Public?CRD/IARD licensing delays?Mail processing delays?Electronic filing encouraged/
mandated?

Links to COVID-19 Regulatory Relief or Operational InformationRelief 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
KansasYesYes, by appointmentNoYesEncouragedInformationNoNoN/ANoJohn Eichkorn
785-296-5203
KentuckyYesNoNoInformationYesNoYesYesMarni Gibson
502-782-9053
LouisianaYesNoNoInformationUnder ReviewUnder ReviewUnder ReviewUnder ReviewScott Jolly
225 925-4170
MaineYesNoNoInformationYesYesYesYesJudith Shaw
207-624-8555
MarylandYesNoNoInformationYesYesYesYesMelanie Lubin
410-576-6365
MassachusettsYesNoNoCorporation Finance e-filings temporarily allowed.InformationUnder ReviewUnder ReviewYesYesEmail
Diane Young-Spitzer
617-727-3548
MichiganYesNoYesInformation
Registrants unable to comply with regulatory requirements may submit a no-action request here.
YesYesYesYesStephen Brey
517-335-5237
MinnesotaYesYes, by appointmentNoNoEncouragedInformationYesYesYesYesAnnette Minor
MississippiYesYes, by appointmentNoNoEncouragedInformationUnder ReviewOtherN/ANoJessica Leigh Long
601-359-1650
JurisdictionStaff Available by Phone/EmailOffice Open to the Public?CRD/IARD licensing delays?Mail processing delays?Electronic filing encouraged/
mandated?

Links to COVID-19 Regulatory Relief or Operational InformationRelief 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
MissouriYesYes, by appointmentNoNoEncouragedInformationUnder ReviewUnder ReviewUnder ReviewNoDavid Minnick
573-751-4136
MontanaYesNoNoInformationYesYesYesYesLynne Egan
406-459-8656
NebraskaYesYes, by appointment NoNoTemporary e-filing mandateInformationYesYesYesYesClaire McHenry
402-471-3445
NevadaYesNoNoEncouragedInformationUnder ReviewYesYesYesBrett Olin
702-486-2475
New HampshireYesNoNoInformationYesUnder ReviewYesYesBarry Glennon
603-271-1463
New JerseyYesNoNoE-filing requested via scan of paper filing directed to: Email InformationYesYesYesYesAmy Kopleton
973-504-3611
New MexicoYesNoYesEncouragedInformationYesYesYesYesKrystal Montano
505-660-4178
New YorkYesYesYesInformationYesN/AYesYesKen Haim
212-416-8206
North CarolinaYesNoNoInformationUnder ReviewUnder ReviewUnder ReviewUnder ReviewKevin Harrington
919-814-5500
JurisdictionStaff Available by Phone/EmailOffice Open to the Public?CRD/IARD licensing delays?Mail processing delays?Electronic filing encouraged/
mandated?

Links to COVID-19 Regulatory Relief or Operational InformationRelief 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 DakotaYesYes, by appointmentNoNoMandatedInformationNoN/AYesYesMike Daley
701-328-4701
OhioYesNoNoInformationYesYesYesYesAndrea Seidt
614-644-7435
OklahomaYesNoNoEncouragedInformationYes, on case by case basisNoN/AYesMelanie Hall
405-280-7700
OregonYesNoNoEncouragedInformationUnder ReviewYesYesYesJacob Mundaden
503-947-7495
PennsylvaniaYesNoYesE-filing request via scan of paper filing directed to: Email (for corp fin filings) and Email (for licensing).

InformationNo (Under Review)YesYesYesEric Pistilli
717-783-4243
Puerto RicoYesYes, by appointmentNoYesInformationUnder ReviewN/AYesYesDamaris Mendoza
Alejandro Blanco
Rhode IslandYesNoNoEncouragedInformationOn a case-by-case basis.YesYesYesDon DeFedele
401-462-9586
South CarolinaYesYes, by appointmentNoNoInformationOn a case-by-case basis.YesN/AYesPam Kirkland
803-734-9916
JurisdictionStaff Available by Phone/EmailOffice Open to the Public?CRD/IARD licensing delays?Mail processing delays?Electronic filing encouraged/
mandated?

Links to COVID-19 Regulatory Relief or Operational InformationRelief 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 DakotaYesNoNoEncouragedInformationUnder ReviewNoYesNoTravis Jordan
605-773-5603
TennesseeYesNoNoInformationUnder ReviewYesN/AUnder ReviewElizabeth Bowling
615-770-0088
TexasYesNoNoEncouragedInformationYesYesYesYesTravis Iles
512-305-8341
UtahYesNoNoEncouragedInformationUnder ReviewUnder ReviewUnder ReviewSabrina Afridi
801-530-6600
VermontYesNoNoInformationUnder ReviewUnder ReviewUnder ReviewYesWilliam Carrigan
802-828-4858
VirginiaYesNoNoInformationYesN/AYesYesDoug Joyce
804-371-9755
WashingtonYesNoNoInformationUnder ReviewYesYesYesBill Beatty
360-902-8723
West VirginiaYesNoNoInformationYesYesYesYesLisa Ann Hopkins
304-444-1069
WisconsinYesNoNoEncouragedInformationYes, on a case-by-case basis.NoN/AYes, on a case-by-case basis.Email
608-266-2139
WyomingYesNoNoInformationYesUnder ReviewUnder ReviewUnder ReviewKelly Janes
307-777-6621