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Official Website

of the Commonwealth of Pennsylvania

    The .gov means its official.

    Local, state, and federal government websites often end in .gov. Commonwealth of Pennsylvania government websites and email systems use "pennsylvania.gov" or "pa.gov" at the end of the address. Before sharing sensitive or personal information, make sure you're on an official state website. 
    Department of Banking & Securities

    Manage Securities Registration

    Securities professionals use the DoBS Portal to securely submit information pertaining to their registrations and scheduled examinations. Tasks include, but are not limited to, corresponding with examiners, submitting annual balance sheets, and uploading required documents during examinations. 

    DoBS Portal
    Portal Resources
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    Companies and individuals renew licenses and registration and pay related fees through FINRA's IARD and Web CRD systems. Renewal notices are sent to registered firms in November each year. Any updates to forms should also be made via IARD or CRD. 

    If you have any questions, please contact the Securities Registration Office at (717) 783-4211.