Bulletins: Securities

Bulletin or Notice	Date
Securities Notice 2023-1 — June 15 is World Elder Abuse Awareness Day	Published 6/2/2023
Bulletin 2021-3 — Protecting Your Online Accounts	Effective 2/16/2021
Bulletin 2021-2 — A reminder to regulated firms of customer obligations and investors about risks of stock price volatility	Effective 2/1/2021
Securities Notice 2021-1 — SolarWinds Reminder	Effective 1/11/2021
Securities Notice: 2020-2 Notice to Investment Advisers Re: Form CRS	Effective 6/9/2020
Securities Notice: 2020-1 Temporary Relief for Registrants Affected by the COVID-19 Outbreak	Effective 4/30/2020
Bulletin 2019-2 — The Division's position on Standing Letters of Authorization ("SLOA") arrangements established by a client with a qualified custodian.	Effective 9/1/2019
Securities Notice: 2019-1 Securities Division Position On Use Of Client Usernames and/or Passwords	Effective 8/21/2019
Securities Notice: 2018-1 Fee Increase on Federal Covered Securities	Effective 7/1/2018