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:
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:
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:
Idaho:
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
- Maine Securities Administrator Issues Order Providing Temporary Regulatory Relief For Financial Industry
Massachusetts:
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:
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:
Ohio:
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:
Texas:
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
Wisconsin:
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).