Bulletins: Securities

Name of Action Date
Bulletin 2021-4 — Top Investor Threats Effective 3/3/2021
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