COVID-19 States Resources

Click on a letter below to view state resources.

Alabama:

• Temporary Relief for Registrants Affected by the COVID-19 Outbreak
• Securities Commission Coronavirus Notice (03/23/2020)

Colorado:

• Temporary Relief for Registrants Affected by COVID-19

Connecticut:

• No Action Position Regarding Temporarily Working from Home Due to COVID-19
• Interim Guidance for Securities Registration, Exemption and Covered Security Filings and Business Opportunity Registration Filings

Delaware:

• Temporary Relief for Registrants Affected by the COVID-19 Outbreak 

Florida:

• OFR Guidance on Florida Securities Professionals Regarding COVID-19
• OFR Emergency Order Regarding Renewal Deadlines
• OFR Consumer Finance Guidance Regarding COVID-19
• Florida Office of Financial Regulation Operations Update
• Emergency Order
• Office of Financial Regulation Extends Certain Filing Deadlines
• Operational Update for Securities Businesses & Professionals

Georgia:

• Order Granting Relief from Fingerprint Filing Requirements
• Order Implementing Investment Advisor Annual Update Amendment to Form ADV Deadline in Response to COVID-19
• Temporary Relief for Registrants Affected by the COVID-19 Outbreak 

Hawaii:

• DCCA Encourages Use of Online Services
• Franchise Filings Deadline Extended

Idaho:

• Investment Adviser and Broker-Dealer Operations and Securities Issuers Filings Disruptions Resulting From Coronavirus

Indiana:

• Temporary Relief for Registrants Affected by the COVID-19 Outbreak 
• Indiana Securities Division Response to the COVID-19 Outbreak
• Temporary Relief from Fingerprint Filing Requirements 
• Administrative Order: Granting Temporary Relief from Fingerprint Filing Requirement
• Temporary Extension of Frianchise Renewal Deadline
• Compliance Alert- Temporarily Extending Franchise Renewal Deadlines

Maine:

• Temporary Relief for Registrants Affected by the COVID-19 Outbreak 
  • Temporary Relief Extension to June 30, 2020
• Maine Securities Administrator Issues Order Providing Temporary Regulatory Relief For Financial Industry

Massachusetts:

• Temporary Relief for Registrants Affected by the COVID-19 Outbreak 

Michigan:

• Dept. of Licensing and Regulatory Affairs Lobby Closures
• DIFS’ Call Center Working Remotely to Assist Consumers with Insurance and Financial Services Questions and Complaints

Minnesota:

• Registration or Filing Relief 
• Regulatory Guidance, 20-08, Broker Dealers and Investment Advisers
• Regulatory Guidance, 20-10, Franchise Registrants – Annual Report Deadline Extension
• Regulatory Guidance, 20-11, Franchise Registrants – Notary Requirement Waiver
• Operations Update

Nebraska:

• Dept. of Banking and Finance Guidance for Investment Advisers, Broker-Dealers, Investment Adviser Representatives and Agents
• Emergency Order Granting Temporary Relief for Registrants Affected by COVID-19
• Order Temporarily Mandating Electronic Filings

New Hampshire:

• Temporary Relief for Registrants Affected by the COVID-19 Outbreak

New Jersey:

• Temporary Relief for Registrants Affected by the COVID-19 Outbreak
• New Jersey Takes Steps to Facilitate Social Distancing Among Financial Professionals

New Mexico

• Regulation & Licensing Department Recommends Online Transactions
• Temporary Relief for Registrants Affected by the COVID-19 Outbreak 
• New Mexico Securities Divsion Operation Update

New York:

• Investor Protection Bureau: Notice of Coronavirus Conditional Relief and Limited Service Continuity Plan
• NYS DOL CARES Act Need-to-Know Flowchart
• The  Investor Protection Bureau’s relief end date has been  extended to June 6, 2020

North Dakota:

• Emergency Notice No. 2020-03 Temporary Relief from Notary Attestation for Registrants and Other Filers Affected by the COVID-19 Outbreak Granted by the Commissioner

Ohio:

• Financial Services Activities Exempted from Stay at Home Order

Oklahoma:

• Oklahoma Securities Commission Operations Update
• Public Hearing on Rulemaking by Teleconference
• Order Temporarily Extending Investment Adviser Filing Deadline

Pennsylvania:

• COVID-19 Information and Guidance for Securities Licensing
• COVID-19 Information and Guidance for Securities Enforcement/Compliance

Tennessee:

• Temporary Relief for Registrants Affected by the COVID-19 Outbreak 

Texas:

• State Securities Board Response to Coronavirus (COVID-19)

Vermont:

• Deadline Extension for Firms to File Annual Form ADV Amendment (Posted March 16, 2020)
• DFR Employees Teleworking

Virginia:

• SCC’s Temporary Changes to Normal Business Operations During COVID-19 Health Emergency
• Order Extending Trademark and Service Mark Renewal Deadlines
• Order Extending Franchise Renewal Deadlines
• Extension of Franchise, Trademark or Service Mark Renewal Deadlines

Washington:

• On-site Staff Reduction at DFI Offices
• Temporary Relief for Registrants Affected by the COVID-19 Outbreak 
• Franchise registration applicants and exemption notice filers
• Guidance for State-registered IAs Regarding Coronavirus Aid, Relief, and Economic Security (CARES) Act Loans

West Virginia

• Temporary Relief for Registrants Affected by the COVID-19 Outbreak

Wisconsin:

• Temporary Relief for Registrants Affected by the COVID-19 Outbreak

For state insurance department information, click here for state-by-state updates on examination services, processing delays and staff availability from the National Insurance Producer Registry (NIPR).