Begin Main Content Area

IA Notice Filers


 
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.
 
Look for investment professionals and firms registered to do business in Pennsylvania through BrokerCheck or Investment Adviser Public Disclosure (IAPD).
 

SEC Notice Filed Investment Advisers

All investment adviser representatives of Notice Filed IA's that were displaced due to Covid-19 must be properly registered.

Please email RA-BNSECURITIESREG1@pa.gov with any additional questions.


NEWS


Modernization and Updates to Securities Regulations
On January 18, 2018, Secretary of Banking and Securities Robin L. Wiessmann announced the modernization and update of rules governing the securities industry in Pennsylvania. These rule changes took effect following their publication in the Pennsylvania Bulletin on January 13, 2018. Read press release here.

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].

 Content Editor ‭[1]‬

Contact Us:

Securities Licensing Office
  • Phone: 717.783.4211
  • Fax: 717.214.0808