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.
# STATE OF LOUISIANA
OFFICE OF FINANCIAL INSTITUTIONS
BATON ROUGE, LOUISIANA
POLICY NO. S-01-2006
(Amended 1/27/2011)
## DEPOSITORIES OF RECORDS
### I. PURPOSE:
To designate depositories for certain records required to be filed with the Securities Division of this Office.
### II. APPLICABILITY:
Broker-dealers, investment advisers, and issuers of securities
### III. GENERAL:
In accordance with LSA-R.S. 51:710(H), the Commissioner designates the following depositories for records required to be filed with the Securities Division of this Office:
| Record | Depository |
|--------|------------|
| a. Form ADV, Parts 1 and 2, filed by all investment advisers pursuant to Sec. 703(D) | Investment Adviser Registration Depository |
| b. Financial statements filed by federal covered advisers pursuant to 703(D) and 703(F) | Securities and Exchange Commission |
| c. Form BD filed by all broker-dealers pursuant to Sec. 703(B) | Central Registration Depository |
| d. Financial statements filed by out-of-state broker-dealers pursuant to Sec. 703(B)(1)(j) and 703(F) | Financial Industry Regulatory Authority |
| e. Prospectus used with respect to notice filings of securities pursuant to Sec. 705(G)(1) and 709(5) | Securities and Exchange Commission |
### IV. EXCEPTION:
The Commissioner reserves the right to request copies of any of the above records.
John Ducrest
Commissioner of Financial Institutions
Date: 1/27/11
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POST OFFICE BOX 94095, BATON ROUGE, LOUISIANA 70804-9095 (225) 925-4660
DEPOSITORY FAX # (225) 925-4548 HUMAN RESOURCES FAX # (225) 925-4665 LEGAL FAX # (225) 922-2592
SECURITIES FAX # (225) 925-4511 NON DEPOSITORY # (225) 922-2860 MAIL ROOM FAX # (225) 925-4524
Web site: www.ofi.louisiana.gov email: ofila@ofi.louisiana.gov
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