Regulatory Alerts2011-01-28
Policy No. S-01-2006 Designating Filing Depositories
The Louisiana Office of Financial Institutions designates specific depositories for records filed by broker-dealers, investment advisers, and securities issuers with its Securities Division. The policy mandates that Form ADV, Form BD, financial statements, and prospectuses be submitted to designated entities including the Investment Adviser Registration Depository, Central Registration Depository, and the Securities and Exchange Commission. Commissioner John Ducrest retains the authority to request copies of any designated records and formally amended these filing requirements effective January 27, 2011.
Share