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Broker-Dealer Registration and Reporting Requirements

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

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

The Department also facilitates the Innovation Lab to help foster discussions that encompass digital innovations impacting Idahoans and the financial services industry.

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

 

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