RIA Family of Companies

Advisors: State Website Links and News - (2017)

By Cory Roberson, Principal at RIA Review and RIA Consults

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
Delaware ** - https://firststeps.delaware.gov/securities_investment.shtml
North Carolina** - https://www.sosnc.gov
Rhode Island - www.dbr.state.ri.us/ 
Vermont - www.bishca.state.vt.us/
Virginia ** - http://www.scc.virginia.gov/srf/index.aspx
Washington - www.dfi.wa.gov/sd/ 
West Virginia ** - https://www.wvsao.gov/Securities/


Contact us at: 650-305-2688 or http://RIAreview.com if you are interested in more resources for your state-registered firm. 

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Contact me at: Cory@riareview.com or go to https://auctions.godaddy.com/ if interested in purchasing.





Cory Roberson is Principal of RIA Review, a compliance and document management portal (www.riareview.com) - 110+ users and growing. He is also Principal of RIA Consults - Roberson Consults Group), a consulting firm providing compliance, operations, and business development services for registered investment advisors and next-gen fintech entrepreneurs (www.robersonconsults.com) more than 160 SEC& State advisors clients across the US (including a few in Europe). Through his mission-driven arm, SoCap Missions, he has volunteered for programs in S. Korea, China, S. Africa, Thailand, and India. 




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