Official Government Website

Securities Application Requirements, Forms and Fees

Opinion & No-Action Requests

Filing Requirements:

  1. $50 filing fee (payable to Idaho Department of Finance)
  2. Letter detailing the specific circumstances and facts of the proposed transaction/situation. In addition, please reference applicable code sections of Uniform Securities Act (2004) of the State of Idaho and state reason for request. Each case will be reviewed individually and the opinion/no-action will be based solely on the written representations submitted.
  3. Address: Idaho Department of Finance
    PO Box 83720
    Boise, ID 83720-0031

Securities Offerings

  • Registration by Coordination filing requirements: Word | PDF
  • Registration by Qualification filing requirements: | PDF
  • Help for Small Business in Capital Formation

    Brochures:

    Exemptions/Registration for Raising Small Business Capital:

    Small Company Offering Registration:

    Forms:


    Agent of Issuer Registration:

    Forms:


    Investment Adviser Registration:

    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

    Forms:


    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