State Securities Divisions
A-M
ALABAMA
Alabama Securities Commission
770 Washington Avenue, Suite 570
Montgomery, Alabama 36130-4700
Phone/Fax: (334) 242-2984 // (334) 242-0240
Email
Website
ALASKA
Department of Commerce
Division of Banking, Securities & Corporations
150 Third Street, Room 217
Juneau, AK 99811-0807
Phone/Fax: (907) 465-2521 // (907) 465-2549
Email
Website
ARIZONA
Corporation Commission
Securities Division
1300 West Washington, Third Floor
Phoenix, Arizona 85007
Phone/Fax: (602) 542-4242 // (602) 594-7470
Email
Website
ARKANSAS
Arkansas Securities Department
201 East Markham Suite 300
Little Rock, AR 72201
Phone/Fax: (501) 324-9260 // (501) 324-9268
Email
Website
CALIFORNIA
Department of Corporations
Securities Regulation Division
1515 K Street, Suite 200
Sacramento, CA 95814
Phone/Fax: (916) 445-7205 // (916) 445-7975
Email
Website
COLORADO
Division of Securities
1560 Broadway, #900
Denver CO 80202
Phone/Fax: (303) 894-2320 // (303) 861-2126
Email
Website
CONNECTICUT
Department of Banking
Division of Securities
260 Constitution Plaza
Hartford CT 06103
Phone/Fax: 860-240-8230 // (860) 240-8295
Email
Website
DELAWARE
Department of Justice
Division of Securities
820 N. French Street, 8th floor
Wilmington DE 19801
Phone/Fax: (302) 577-8424 // (302) 577-6987
Email
Website
DISTRICT OF COLUMBIA
Securities Commission
810 First Street, NE, Suite 622
Washington, DC 20001
Phone/Fax: (202) 727-8000 // (202) 535-1199
Email
Website
FLORIDA
Department of Banking
Division of Securities
200 East Gaines Street
Tallahassee FL 32399
Phone/Fax: (850) 410-9800 // (850) 410-9548
Email
Website
GEORGIA
Office of the Secretary of State
Securities Division
Two Martin Luther King, Jr. Drive , 802 West Tower 802 West Tower
Atlanta GA 30334
Phone/Fax: (404) 656-3920 // (404) 651-6451
Email
Website
HAWAII
Department of Commerce and Consumer Affairs
1010 Richards Street P.O. Box 40
Honolulu Hawaii 96810
Phone/Fax: 808-586-2744 // 808-586-2733
Email
Website
IDAHO
Department of Finance
Securities Bureau
700 West State Street P.O. Box 83729
Boise, Idaho 83720-0031
Phone/Fax: (208) 332-8004 // (208) 332-8099
Email
Website
ILLINOIS
Office of the Secretary of State
Securities Department
300 West Jefferson Street, Suite 300A
Springfield, IL 62702
Phone/Fax: (217) 782-2256 // (217) 524-2172
Email
Website
INDIANA
Office of the Secretary of State
Securities Division
302 West Washington, E-111
Indianapolis, IN 46204
Phone/Fax: (317) 232-6681 // 317-233-3675
Email
Website
IOWA
Insurance Division
Securities Bureau
340 E. Maple Street
Des Moines IA 50319
Phone/Fax: 515-281-4441 // (515) 281-3059
Email
Website
KANSAS
Securities Commission
618 South Kansas Avenue
Topeka KS 66603-3804
Phone/Fax: (785) 296-3307 // (785) 296-6872
Email
Website
KENTUCKY
Department of Financial Institutions
Division of Securities
1025 Capital Center Drive, Suite 200
Frankfort, KY 40601
Phone/Fax: 502-573-3390 // 502-573-8787
Email
Website
LOUISIANA
Securities Commission
Office of Financial Institutions
8660 United Plaza Blvd.
Baton Rouge, LA 70809
Phone/Fax: (225) 925-4660 // (225) 925-4524
Email
Website
MAINE
Securities Division
121 State House Station
Augusta, Maine 04333
Phone/Fax: (207) 624-8551 // (207) 624-8590
Email
Website
MARYLAND
Office of the Attorney General
Division of Securities
200 Saint Paul Place
Baltimore, MD 21202-2020
Phone/Fax: (410) 576-6360 // (410) 576-6532
Email
Website
MASSACHUSETTS
Securities Division
One Ashburton Place, Room 1701
Boston, MA 02108
Phone/Fax: (617) 727-3548 // (617) 248-0177
Email
Website
MICHIGAN
Division of Securities
Office of Financial & Insurance Services
611 West Ottawa, Second Floor
Lansing, MI 48909-8201
Phone/Fax: (877)999-6442 // (517)241-3953
Email
Website
MINNESOTA
Department of Commerce
85 East 7th Place, Suite 500
Saint Paul, MN 55101
Phone/Fax: (651) 296-4026 // (651) 296-4328
Email
Website
MISSISSIPPI
Office of the Secretary of State
Business Regulation & Enforcement Division
700 North Street
Jackson, MS 39202
Phone/Fax: (601) 359-6371 // (601) 359-2663
Email
Website
MISSOURI
Securities Division
Missouri State Information Center
600 West Main Street, 2nd Floor
Jefferson City, MO 65101
Phone/Fax: (573) 751-4136 // (573) 526-3124
Email
Website
MONTANA
Office of the State Auditor
Securities Department
840 Helena Avenue
Helena, MT 59601
Phone/Fax: (406)444-2040 // (406) 444-5558
Email
Website
N-Z
NEBRASKA
Nebraska Securities Bureau
Department of Banking & Finance
1200 North St.
Lincoln, NE 68508
Phone/Fax: 402) 471-3445 //
Email
Website
NEVADA
Nevada Secretary of State
Securities Divison
555 E. Washington Ave.
Las Vegas, NV 89101
Phone/Fax: (702) 486-2440 // (702) 486-2452
Email
Website
NEW HAMPSHIRE
Bureau of Securities Regulation
107 North Main St.
Concord, NH 03301-4989
Phone/Fax: (603) 271-1463 // (603) 271-7933
Email
Website
NEW JERSEY
Department of Law and Public Safety
Bureau of Securities
153 Halsey St.
Newark, NJ 07102
Phone/Fax: (973) 504-3600 // (973) 504-3601
Email
Website
NEW MEXICO
Regulation and Licensing Department
Securities Divison
2550 Cerrillos Road
Santa Fe, NM 87505
Phone/Fax: (505) 476-4580 // (505) 984-0617
Email
Website
NEW YORK
Office of the Attorney General
Investor Protection & Securities Bureau
120 Broadway
New York, NY 10271
Phone/Fax: (212) 416-8200 // (212) 416-8816
Email
Website
North Carolina
Department of the Secretary of State
Securities Division
P.O. Box 29622
Raleigh, NC 27626-0525
Phone/Fax: (919) 733-3924 // (919) 821-0818
Email
Website
NORTH DAKOTA
Securities Commission
600 East Boulevard
State Capitol, 5th Floor
Bismarck, ND 58505-0510
Phone/Fax: (701) 328-2910 // (701) 255-3113
Email
Website
OHIO
Division of Securities
77 South High Street
22nd Floor
Columbus, OH 43215
Phone/Fax: (614) 644-7381 // (614) 466-3316
Email
Website
OKLAHOMA
Department of Securities
1st National Center, Suite 860
120 N. Robinson
Oklahoma City, OK 73102
Phone/Fax: (405) 280-7700 // (405) 280-7742
Email
Website
OREGON
Department of Consumer & Business Services
Div. of Finance & Corp. Securities
350 Winter Street, NE
Salem, OR 97301-3881
Phone/Fax: (503) 378-4387 // (503) 947-7862
Email
Website
PENNSYLVANIA
Securities Commission
Eastgate Office Building
1010 North 7th Street, 2nd Floor
Harrisburg, PA 17102-1410
Phone/Fax: (717) 787-8061 // (717) 783-5122
Email
Website
RHODE ISLAND
Department of Business Regulation
233 Richmond Street
Suite 232
Providence, RI 02903-4232
Phone/Fax: (401) 222-3048 // (401) 222-5629
Email
Website
SOUTH CAROLINA
Office of the Attorney General
Securities Division
1000 Assembly Street
Columbia, SC 29201
Phone/Fax: (803) 734-4731 // (803) 734-0032
Email
Website
SOUTH DAKOTA
Dept. of Revenue and Regulation
Division of Securities
445 E Capitol Avenue
Pierre, SD 57501-2000
Phone/Fax: (605) 773-4823 // (605) 773-5953
Email
Website
TENNESSEE
Department of Commerce & Insurance
Securities Division
500 James Robertson Parkway
Nashville, TN 37243-0575
Phone/Fax: (615) 741-2947 // (615) 532-8375
Email
Website
TEXAS
State Securities Board
208 East 10th Street
Austin, TX 78701
Phone/Fax: (512) 305-8300 // (512) 305-8310
Email
Website
UTAH
Department of Commerce
Division of Securities
160 East 300 South
Salt Lake City, UT 84111
Phone/Fax: (801) 530-6600 // (801) 530-6980
Email
Website
VERMONT
Department of Banking, Insurance, Securities & Health Care
89 Main Street, Drawer 20
Montpelier, VT 05620-3101
Phone/Fax: (802) 828-3420 // (802) 828-2896
Email
Website
VIRGINIA
State Corporation Commission
Division of Securities & Retail Franchising
1300 East Main Street
Richmond, VA 23219
Phone/Fax: (804) 371-9051 // (804) 371-9911
Email
Website
WASHINGTON
Department of Financial Institutions
Securities Division
150 Israel Road, SW
Tumwater, WA 98501
Phone/Fax: (360) 902-8760 // (360) 902-0524
Email
Website
WEST VIRGINIA
Office of the State Auditor
Securities Division
Building 1, Room W-100
Charleston, WV 25305-0230
Phone/Fax: (304) 558-2257 // (304) 558-4211
Email
Website
WISCONSIN
Department of Financial Institutions
Division of Securities
345 W. Washington Avenue
Madison, WI 53703
Phone/Fax: (608) 266-1064 // (608) 264-7979
Email
Website
WYOMING
Securities Division
Wyoming Secretary of State’s Office
200 West 24th Street
Cheyenne, WY 82002-0020
Phone/Fax: (307) 777-7370 // (307) 777-5339
Email
Website
Latest News Releases
Compliance Alert - RIAs Must Provide CCOs with Adequate Support
Click To Read More
Compliance Alert - SEC Announces 2015 Examination Priorities
Click To Read More
Compliance Alert - Business Continuity Plans for State RIAs
Click To Read More
Compliance Alert - Consolidated Reports Are Attracting FINRA’s Attention
Click To Read More
Cybersecurity Examination Sweep Summary
Click To Read More
SEC NEWS
SEC NEWS
- SEC, FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Adviserson May 13, 2024 at 3:00 pm
Today the Securities and Exchange Commission and the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed a new rule that would require SEC-registered investment advisers (RIAs) and exempt reporting […]
- SEC Charges Pennsylvania Resident with Insider Trading in Dick’s Sporting Goods Securitieson May 10, 2024 at 12:22 pm
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. Poerio, Jr. with insider trading for misappropriating material, nonpublic information concerning Dick’s Sporting Goods Inc. and trading on that information, […]
- SEC Names Nathaniel H. Benjamin as Director of the Office of Minority and Women Inclusionon May 3, 2024 at 9:13 pm
The Securities and Exchange Commission today announced that Nathaniel H. Benjamin has been appointed the Director of the Office of Minority and Women Inclusion (OMWI). Mr. Benjamin will join OMWI from AmeriCorps, where he is the Chief Diversity […]
- SEC Charges Audit Firm BF Borgers and Its Owner with Massive Fraud Affecting More Than 1,500 SEC Filingson May 3, 2024 at 12:45 pm
The Securities and Exchange Commission today charged audit firm BF Borgers CPA PC and its owner, Benjamin F. Borgers (together, “Respondents”), with deliberate and systemic failures to comply with Public Company Accounting Oversight Board […]
- SEC Small Business Advisory Committee to Discuss Regulation Crowdfunding and the State of Angel Investingon April 25, 2024 at 6:17 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Monday, May 6, 2024. The meeting will include a discussion of Regulation Crowdfunding (Reg CF) and activity […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con May 14, 2024 at 3:49 am
Proxy Rules and Schedules 14A/14C
- Staff Statement on Issuer Disclosure and Reporting Obligations in Light of Rule 102(e) Order against BF Borgers CPA PCon May 3, 2024 at 2:00 pm
Staff Statement on Issuer Disclosure and Reporting Obligations in Light of Rule 102(e) Order against BF Borgers CPA PC
- MorphoSys AGon April 11, 2024 at 4:00 pm
Response of the Office of Mergers and Acquisitions
- Senvest Management, LLCon April 3, 2024 at 11:05 pm
Waiver of disqualification pursuant to Rule 506(d)(2)(ii) of Regulation D
- Compagnie Maritime Belge NVon February 9, 2024 at 3:50 pm
Response of the Office of Mergers and Acquisitions