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1 min read

State Securities Regulators Up and Running

By NAIFA on Mar 24, 2020 8:56:25 AM

State securities regulators have taken responsible safety measures in light of the Coronavirus, but are providing necessary services for their registrants and consumers. Recognizing the disruptions and dislocations caused by the COVID--19 outbreak, many state securities departments are making appropriate accommodations and are providing helpful relief from regular registration, filing, and other requirements for registrants who meet certain criteria.


To find out the specific situation in your own state, visit your state securities department’s web site. Also, the North American Securities Administrators Association (NASAA), which represents securities regulators in the United States, Canada and Mexico, has set up an online resources page that provides links to updates and actions taken by state and provincial securities regulators.