Investment Adviser Registration and Forms

The Securities Bureau is responsible for administering the Idaho Uniform Securities Act.

The Bureau registers and oversees financial entities and professional such as investment advisers, investment adviser representatives, broker-dealers and securities salespersons who sell securities or offer investment advice in Idaho.

Investment Adviser Registration:

Investment Adviser Application Procedures and Information
Investment Adviser Representative Registration and Exemption
Avoiding Common Deficiencies Found in Investment Adviser Applications
FINRA Exam Information
Investment Adviser Licensee List
FAQ

Forms

Indemnity Bond for Investment Adviser

Investment Adviser Financial Statement Reporting Requirements

State-regulated Idaho based investment advisers

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).
Send to:
Idaho Department of Finance
Securities Bureau
PO Box 83720
Boise, ID 83720-0031

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Investment Adviser Registration and Forms

Investment Adviser Registration:

Forms

Investment Adviser Financial Statement Reporting Requirements