Official Government Website

Securities Application Requirements, Forms and Fees

**Notification** The Idaho Uniform Securities Act—Draft changes to the Idaho Uniform Securities Act affecting broker-dealers, agents, investment advisers, and representatives are available for review. All proposed changes involve updates to currently outdated cites to the Securities Exchange Act of 1934, the Securities Act of 1933, and the Investment Advisers Act of 1940. No new requirements will result from these updates. If you would like a copy of the draft changes, please email Patricia Highley.

Securities Offerings

Forms:


Agent of Issuer Registration:

Forms:

Investment Adviser Registration:

Forms:

Investment Adviser Financial Statement Reporting Requirements

State-regulated Idaho based investment advisers

  1. Balance Sheet (dated within 90 days of fiscal year end) does not have to be audited, but is required to be prepared substantially in accordance with Generally Accepted Accounting Principles (GAAP).
  2. Send to:
    Idaho Department of Finance
    Securities Bureau
    PO Box 83720
    Boise, ID 83720-0031

Broker-Dealer Registration Issues:

Broker-Dealer Financial Statement Reporting Requirements:

Non-FINRA (formerly NASD) Member Firms

  1. Financial statement dated within 90 days of fiscal year end.
  2. Send to:
    Idaho Department of Finance
    Securities Bureau
    PO Box 83720
    Boise, Id 83720-0031