Bulletins: Securities
| Bulletin or Notice | Date |
|---|---|
| Securities Bulletin 2025-1 — Investment Advisor Representative Continuing Education Required | Effective 1/8/2025 |
| Bulletin 2021-3 — Protecting Your Online Accounts | Effective 2/16/2021 |
| Securities Notice: 2020-2 Notice to Investment Advisers Re: Form CRS | Effective 6/9/2020 |
| 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 |