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Thursday, November 9, 2017

Advisors: State Website Links and News - (2017)

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. 

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.   

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. 

Indiana –  Securities Registration Fee Increase (as of July 1, 2017) -   

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. – 

Pennsylvania - Fintech business offering regulated financial services require state license. (10/17) -

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 ** -
Delaware ** -
North Carolina** -
Rhode Island - 
Vermont -
Virginia ** -
Washington - 
West Virginia ** -

Contact us at: 650-305-2688 or 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 ( 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:


FIN Missions ( 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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