Updated: October 06 2006

State Securities Administrators

Each state has its own laws and regulations for securities brokers and for all types of securities, including stocks, mutual funds, commodities, real estate offerings, uninsured investment products sold by banks and others. The officials enforce these laws and regulations. State securities agencies are responsible also for preventing fraud and abuse in the sale of all but the largest securities offerings. If you have a question or complaint about an investment you have made or are about to make, call the company or bank involved. If your complaint or question is not resolved, call the appropriate state securities agency.

Primary Address

Region(s) Served

• National

Locations

Related Programs

• Alabama - Securities Commission
• Alaska - Department of Community and Economic Development
• Arizona - Corporation Commission
• Arkansas - Securities Division
• California - Department of Corporations
• Colorado - Division of Securities
• Delaware - Department of Justice Division of Securities
• Florida - Division of Securities
• Georgia - Division of Securities and Business Regulations
• Hawaii - Department of Commerce and Consumer Affairs, Business Registration Division
• Idaho - Department of Finance
• Illinois - Securities Department
• Indiana - Securities Division, Office of the Secretary of State
• Iowa - Securities Bureau Enforcement Section
• Kansas - Office of the Securities Commissioner
• Kentucky - Department of Financial Institutions
• Maine - Office of Securities
• Maryland - Office of the Attorney General Securities Division
• Massachusetts - Securities Division
• Michigan - Office of Financial and Insurance Regulation
• Minnesota - Department of Commerce
• Mississippi - Secretary of State's Office, Business Regulation and Enforcement
• Missouri - Securities Division
• Montana - Commissioner of Securities and Insurance
• National Association of Securities Dealers Inc. (NASD)
• Nevada - Securities Division, Office of the Secretary of State
• New Hampshire - Bureau of Securities Regulation
• New Jersey - Department of Law and Public Safety, Division of Consumer Affairs
• New Mexico - Regulation and Licensing Department Securities Division
• New York - Investor Protection Bureau of NY State Attorney General
• North Dakota - Securities Commissioner
• Ohio - Division of Securities
• Oklahoma - Department of Securities
• Pennsylvania - Securities Commission
• South Carolina - Attorney Generals Office Securities Section
• South Dakota - Division of Securities
• Tennessee - Department of Commerce and Insurance Securities
• Texas - State Securities Board
• Utah - Department of Commerce, Division of Securities
• Virginia - Division of Securities and Retail Franchising, State Corporation Commission
• Washington - Department of Financial Institutions, Securities
• West Virginia - Securities Division
• Wyoming - Securities Division

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