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
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DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con September 18, 2023 at 11:39 am
Proxy Rules and Schedules 14A/14C
- Sample Letter to Companies Regarding Their XBRL Disclosureson September 7, 2023 at 9:30 pm
The illustrative letter contains sample comments that, depending on the particular facts and circumstances, and type of filing under review, the Division may issue to certain companies.
- Exchange Act Form F-SRon August 30, 2023 at 10:00 pm
Section 113. Form F-SR
- Manipulative and Deceptive Devices and Contrivances: Section 120, Rule 10b5-1on August 25, 2023 at 4:40 pm
Question 120.29
- Section 133A. Item 408 b - Insider Trading Arrangements and Policieson August 25, 2023 at 4:40 pm
Question 135.04