Friday, November 14, 2014

Click the link below for Tips on Charitable Holiday Giving:

The Department's eLicensing System is now accepting electronic checks.  For a list of available license types to apply for or renew, please visit

Thursday, January 16, 2014

Monday, December 9, 2013

Securities Industry Alert 2013-1 has been Rescinded!

RESCINDED December 9, 2013: As a result of inquiries the Department has received, the Department is rescinding this Alert until further notice in order to work with the industry on issues that have come to the Department's attention subsequent to the issuance of this Alert.

Tuesday, December 3, 2013

Securities Industry Alert - Initial and Renewal Mutual Fund Notice Filing Must be Submitted Electronically!

Effective January 1, 2014, the Department of Business Regulation will require all Mutual Fund Notice Filings be submitted electronically. To view Securities Industry Alert 2013-1, click here