By Cory Roberson, Principal at FIN Compliance and FIN Lancer
Ever have trouble navigating state
regulatory websites? We understand.
Below is a snippet of news, rules, and
links applicable to state-registered firms.
Connecticut - Reminder to file
Form ADV – exempt reporting advisors. http://www.ct.gov/dob/cwp/view.asp?a=2245&q=594210
Texas - Regulators took more
enforcement actions against registered members of the securities industry than
non-registered individuals or firms, continuing a trend that began last year. https://www.ssb.texas.gov/news-publications/state-regulators-taking-more-actions-against-registered-firms
New
York
- New Cybersecurity regulations issued by New York State (August 2017) –
this agency regulates banking and insurance industry. Investment advisors are regulated by the
Investor Protection Bureau. http://www.dfs.ny.gov/about/press/pr1708281.htm
Indiana
– Securities Registration Fee Increase (as of
July 1, 2017) - http://www.in.gov/sos/securities/files/Compliance%20Alert%20-%20Registrations%20-%20(06-01-17).pdf
Louisiana - Investment
Advisor Rep (IAR) Certification exemption----Act 7
Individuals who were registered on or before August
31, 2016 and have been registered in the securities industry for at least 10
years are excluded from having to meet the examination/certification
requirement. http://www.ofi.louisiana.gov –
Pennsylvania - Fintech business
offering regulated financial services require state license. (10/17) - http://www.media.pa.gov/pages/banking_details.aspx?newsid=188
Go here for more resources on State policies/procedures: Compliance software: RIA Review
Updated Website Links
Below, is a resource of
links and news stories specific for state-advisors.
Alaska ** - https://www.commerce.alaska.gov/web/dbs/Securities.aspx
Arizona - www.azcc.gov/divisions/securities/
Arkansas - www.securities.arkansas.gov/
California - http://www.dbo.ca.gov
Colorado - www.dora.state.co.us/Securities/
Connecticut - www.ct.gov/dob/site/default.asp
Delaware ** - https://firststeps.delaware.gov/securities_investment.shtml
District of Columbia ** - https://disb.dc.gov/page/licensing-requirements-investment-advisers-and-representatives
Georgia - http://sos.georgia.gov/securities/
Hawaii - www.hawaii.gov/dcca/sec/
Indiana - www.in.gov/sos/securities/
Iowa ** - https://iid.iowa.gov/regulated-entities
Kansas - www.securities.state.ks.us
Kentucky ** - http://kfi.ky.gov/Pages/securities.aspx
Louisiana - www.ofi.louisiana.gov/
Maryland - www.oag.state.md.us/securities/
Massachusetts - www.sec.state.ma.us/sct/sctidx.htm
Mississippi ** - http://www.sos.ms.gov/Securities/Pages/default.aspx
Missouri - www.sos.mo.gov/securities/
Montana ** - http://csimt.gov/securities/
Nebraska - www.ndbf.ne.gov/index.shtml
Nevada - www.nvsos.gov/index.aspx?page=6
New Hampshire - www.sos.nh.gov/securities/
New Jersey - www.state.nj.us/lps/ca/bos/
New Mexico - www.rld.state.nm.us/Securities/index.html
North Carolina** - https://www.sosnc.gov
North Dakota** - http://www.nd.gov/securities/
Ohio - www.com.ohio.gov/secu/
Oklahoma - www.securities.ok.gov/
Oregon - www.cbs.state.or.us/external/dfcs/
Pennsylvania - www.psc.state.pa.us/licensing/index.html
Rhode Island - www.dbr.state.ri.us/
Puerto Rico - http://www.ocif.gobierno.pr/valores_eng.html
South Carolina - http://www.scag.gov/scsecurities
South Dakota - www.state.sd.us/drr2/reg/securities/index.htm
Tennessee ** - http://www.tn.gov/commerce/section/securities
Texas - http://www.ssb.state.tx.us/
Utah ** - https://securities.utah.gov
Vermont - www.bishca.state.vt.us/
Virgin Islands - http://ltg.gov.vi/division-of-banking-and-insurance.html
Virginia ** - http://www.scc.virginia.gov/srf/index.aspx
Washington - www.dfi.wa.gov/sd/
West Virginia ** - https://www.wvsao.gov/Securities/
Wisconsin - www.wdfi.org/fi/securities/
Contact us at: 650-305-2688 or http://RIAreview.com if you are interested in more resources for your state-registered firm.
Email Us to schedule a brief session to review needs
Compliance and Business Management
FIN Compliance (FINCompliance.io) is a consortium of compliance services including: RIA Consults-Roberson Consults Group, a compliance consulting firm, RIA Review, a compliance-management software tool (SaaS), B-D Review, a RIA/Broker-Dealer compliance management software tool, and FINLancer is a business management portal featuring: E-signature tools; Invoicing integration, Vendor Directory, continuity directory*, business client document portal, and more (available by Q3 2019). Access all services on one site: FINCompliance.io.
Impact
FIN Missions (FINmissions.com) provides business support group sessions for other entrepreneurs. In addition, Cory has volunteered for more than fifteen youth programs in locations such as like S. Korea, China, S. Africa, Thailand, and India.
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