COVID-19 Procedures: All business with the Commission should be through electronic filing systems, email, or by telephone. For public health safety, in-person visits to SCC offices are suspended. Filings or other deliveries are permitted by drop off at main entrance. On-site staff is minimal and processing of such deliveries may be delayed.
Bulletins, Alerts & News Releases
- From the Division of Securities and Retail Franchising:
- From the North American Securities Administrators Association (NASAA):
- From the Financial Industry Regulatory Authority (FINRA):
- From the Securities and Exchange Commission (SEC):