Securities Licensing

Page 3 of 4

• Dodd-Frank IA Filing Deferral Order

• Dodd-Frank IA Exemptive Order

• Order Governing Use of the Internet by Securities Industry

• Employers of Agents Seeking Multiple Registration Exempt from Joint and Several Undertaking

• Series 65 and 66 Examination Adopted for Investment Adviser Agents

• Amended IA Client Counting Order

• Order Governing Federally Exempt Investment Advisers

• Extension of Hurricane Katrina No-Action

• Fees Waived for Military Duty Personnel

• Order Updating Custody Requirements for Investment Advisers

• Investment Advisers Cautioned on Use of Hedge Clauses

• Order Concerning Filings Through the IARD for Investment Advisory Firms

• Order Governing Registrations Filings Through the IARD for Agents and Firms

• ERA Filing Reminder - 2017-3

• Persons Displaced as a Result of Hurricane Katrina or Rita (No-Action Determination)