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IA Reps


The department registers more than 200,000 broker-dealers, broker-dealer agents, investment advisers (IA's), investment adviser representatives (IA Reps) and notice filers (IA Notice Filers) who conduct securities-related business in Pennsylvania. Investment adviser representatives are individuals who represent investment adviser firms.
 
Look for investment professionals and firms registered to do business in Pennsylvania through BrokerCheck or Investment Adviser Public Disclosure (IAPD).
 
 
news

10/27/2016 
 
Secretary's Letter on Cybersecurity (PDF)
The Department continues to work collaboratively with federal regulators, other states financial regulators, and other Commonwealth agencies to address cybersecurity challenges.
 
Federal Government Principles on Responding to Cyber Incidents
A Presidential Policy Directive (PPD-41) released on July 26, 2016, sets forth principles governing the federal government’s response to any cyber incident, whether involving government or private sector entities. For significant cyber incidents, PPD-41 also establishes lead federal agencies and an architecture for coordinating the broader federal government response. Learn more: http://bit.ly/2aeAUtZ.
 
Cybersecurity Update
The Federal Financial Institutions Examination Council (FFIEC) members have issued a revised Management booklet, which is part of the FFIEC Information Technology Examination Handbook (IT Handbook). The IT Handbook is available here

Amendments to the PA Securities Act of 1972
Following the October 1, 2012, merger of the PA Securities Commission into the PA Department of Banking to create the PA Department of Banking and Securities, Act 52 of 2014 was signed into law, designed to update the 1972 Act as a result of the merger and recent changes in both federal and state securities laws. Read more [PDF].
 

 

coNTACT US:

Bureau of Securities Licensing, Compliance and Examinations
 
  • Phone: 717.783.4211
  • Fax: 717.214.0808