Alabama Securities Commission The ASC protects investors from securities fraud and preserves legitimate capital markets in Alabama.
Alabama Securities Commission, 401 Adams Ave, Suite 280, Montgomery, AL 36104; Phone: 800-222-1253
Alabama Securities Statutes – Information about the Alabama Securities Act, the Sale of Checks Act, Rules of the Alabama Securities Commission, and ASC policy statements.
Alabama Filing Requirements – Links for more information on registrations, exemptions, and uniform registration forms for the NASAA, FINRA, and SEC.
Alabama Consumer Protection Section The Consumer Protection Section of the Alabama Attorney General’s Office investigates consumer complaints and mediates disputes between consumers and businesses. Certain businesses soliciting in or from Alabama are also required register with the Attorney General’s office.
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Alaska Division of Banking and Securities – The DBS administers and enforces the Alaska Securities Act including registering securities; licensing, registering, and examining investment advisors and broker dealers; investigating complaints and reports of fraud; providing education and outreach; and assistance with the Alaska Native Claims Settlement Act (ANCSA).
Alaska Division of Banking and Securities Address: Department of Commerce, Division of Banking and Securities, 333 Willoughby Ave, 9th Floor, State Office Building, Juneau, Alaska 99801
Alaska Division of Banking and Securities Phone: 888-925-2521
Alaska Securities Act
How to File a Claim in Alaska – Information to file complaints through the DBS in Alaska.
Alaska Consumer Protection Unit The Consumer Protection Unit of the Alaska Attorney General’s Office investigates unfair or deceptive business practices, informally mediates consumer complaints, enforces antitrust laws, and educates consumers. Certain businesses soliciting in or from Alaska are also required register with the Attorney General’s office.
The Sale of Securities in Alaska
Arizona Securities Division The Securities Division of the Arizona Corporation Commission preserves the integrity of the financial marketplace in Arizona.
Arizona Securities Division Address: Arizona Corporation Commission Securities Division, 1300 West Washington, Phoenix, AZ 85007
Arizona Securities Division Phone: 602-542-4242
Arizona Securities Statutes Information about the Arizona Securities Act.
Arizona Filing Requirements Links for more information on filing complaints in Arizona.
Arizona Consumer Protection Section The Consumer Protection Section of the Arizona Attorney General’s Office advocates for and educates the public on consumer protection issues.
Arkansas Securities Department – The ASD protects investors from securities fraud and preserves legitimate capital markets in Arkansas.
Arkansas Securities Department Address: Arkansas Securities Department, Heritage West Building, Suite 300, 201 East MArkham Street, Little Rock, Arkansas 72201
Arkansas Securities Department Phone: 800-981-4429 Arkansas Securities Act – Information about the Arkansas Securities Act. Arkansas Filing Requirements
Brochures and Pamphlets
Arkansas Insurance Department
Arkansas Consumer Protection Division – The Consumer Protection Division of the Arkansas Attorney General’s Office investigates consumer complaints and pursues lawsuits against those who violate the Arkansas Deceptive Trade Practices Act
California Department of Business Oversight The DBO provides protection to consumers engaged in financial transactions and regulates financial services, products, and professionals in California.
California Department of Business Oversight Main Office Address: 1515 K Street, Suite 200, Sacramento, CA 95814-4052
California Department of Business Oversight Phone: 916-445-7205
California Securities Statutes
California Filing Requirements Links for more information on filing complaints in California.
California Consumer Protection Resources for dealing with a variety of consumer complaints in California.
Colorado Division of Securities – The Division of Securities regulates brokers, advisors, stocks, and bonds in Colorado.
Colorado Division of Securities Address: 1560 Broadway, Suite 900, Denver, CO 80202
Colorado Division of Securities Phone: 303-894-2320
Colorado Filing Requirements
Colorado Consumer Protection Section – The Consumer Protection Section of the Colorado Attorney General’s Office investigates consumer complaints and protects consumers against fraud. Certain businesses soliciting in or from Colorado are also required register with the Attorney General’s office.
Connecticut Securities and Business Investments Division The SBID registers securities and business offerings; licenses broker-dealers, agents, and advisers and their offices; and enforces investment laws.
Connecticut Department of Banking Securities and Business Investments Division Address: 260 Constitution Plaza, Hartford, CT 06103-1800, Phone: 860-240-8230
Connecticut Securities Statutes Information about the Connecticut Uniform Securities Act.
Connecticut Filing Requirements
Connecticut Department of Consumer Protection The Department of Consumer Protection services general consumer complaints. Investors in need of information about securities claims should contact the Securities and Business Investments Division of the Connecticut Department of Banking.
Delaware Investor Protection Unit – The IPU protects investors from Delaware securities fraud and regulates financial professionals.
Delaware Securities Act
Delaware Filing Requirements
DISTRICT OF COLUMBIA
District of Columbia Department of Insurance, Securities, and Banking The DSIB protects consumers from unfair practices, promotes economic development, and regulates financial institutions and activities in the District of Columbia.
District of Columbia Securities Codes
District of Columbia Filing Requirements Information on the types of claims the DISB handles, plus links to claim forms.
District of Columbia Consumer Protection The DSIB investigates consumer complaints and reports of fraud in the District of Columbia.
Florida Division of Securities The FDS regulates the sale of securities in, to, or from offices and individuals in Florida.
Florida Office of Financial Regulation Address: 200 E. Gaines St., Tallahassee, FL 32399, Phone: 850-487-9687
Florida Securities and Investor Protection Act
Florida Filing Requirements
Florida Consumer Protection Division – The Consumer Protection Division of the Florida Attorney General’s Office enforces the Florida Deceptive and Unfair Trade Practices Act, protecting consumers and businesses from illegal conduct.
Georgia Securities Division The Securities Division of the Georgia Secretary of State’s Office implements and enforces the Uniform Securities Act, protecting consumers by investigating complaints and registering agencies and brokers.
Department of Banking and Finance Securities Division Address: 2 Martin Luther King Jr. Drive SE, Suite 820, West Tower, Atlanta, GA 30334, Phone: 404-656-2817
Georgia Securities Statutes
Georgia Filing Requirements
Georgia Governor’s Office of Consumer Protection – The Governor’s Office of Consumer Protection investigates consumer complaints provides the public with information and education on fraud protection and maintains a list of reported scams.
Hawaii Department of Commerce and Consumer Affairs – The Securities Enforcement Branch of the DCCA protects consumers by processing and investigating complaints regarding securities violations.
Department of Commerce and Consumer Affairs Business Registration Division Commissioner of Securities – Address : P.O. Box 40, Honolulu, Hawaii 9610, Phone: 808-586-2744
Hawaii Uniform Securities Act
Hawaii Filing Requirements
Hawaii Consumer Protection – The Department of Commerce and Consumer Affairs handles consumer protection for residents of Hawaii.
Idaho Department of Finance – The Securities Bureau of the Idaho Department of Finance regulates individuals and entities that offer investment opportunities to the public.
Idaho Department of Finance Address: 800 Park Blvd., Suite 200, Boise, ID 83712; P.O. Box 83720 Boise, ID 83720-0031, Phone: 208-332-8000
Idaho Securities Statutes – Links to the statutes applying to securities laws in Idaho, including the Uniform Securities Act of 2004, Commodity Code, Control Share Acquisition Act, and the Business Combination Act.
Idaho Filing Requirements
Idaho Consumer Protection – The Securities Bureau of the Department of Finance handles consumer protection complaints in Idaho.
Illinois Securities Department The Securities Department of the Illinois Secretary of State’s Office is responsible for the regulation of the securities industry and protection of investors.
Secretary of State Securities Department Address: Jefferson Terrace, Ste. 300A 300 West Jefferson St., Springfield, IL 62702, Phone: 217-782-2256
Illinois Securities Statutes
Illinois Filing Requirements The Securities Department’s Enforcement Division receives and investigates consumer complaints and inquiries..
Illinois Consumer Protection Division of the Illinois Attorney General’s Office protects consumers and businesses victimized by fraud, deception, and unfair business practices. The Division also advocates on behalf of citizens in hearings, reporting, and legislation.
Indiana Securities Division The Securities Division of the Indiana Secretary of State’s Office regulates the securities industry in Indiana, including protecting consumers by bringing action against companies and individuals violating the Uniform Securities Act.
Indiana Securities Division Address: 302 West Washington Street, Room E111, Indianapolis, IN 46204, Phone: 317-232-6681
Indiana Securities Statutes
Indiana Filing Requirements
Indiana Consumer Protection Division The Consumer Protection Division of the Indiana Attorney General’s Office investigates consumer complaints and mediates disputes between consumers and businesses.
Iowa Securities & Regulated Industries Bureau The Securities & Regulated Industries Bureau of the Iowa Insurance Division protects investors through the administration and enforcement of the Uniform Securities Act.
Iowa Securities Statutes
Iowa Filing Requirements
Iowa Consumer Protection Section The Consumer Protection Section of the Iowa Attorney General’s Office protects consumers from fraud and ensure fair competition in the marketplace.
Iowa Securities Division Address: 601 Locust St., 4th floor, Des Moines, IA 50309-3738, Phone: 515-281-5708
Kansas Office of the Securities Commissioner The OSC protects investors from securities fraud, promotes integrity and fairness in financial services, and fosters capital formation in Kansas.
Office of the Securities Commissioner Address: 109 SW 9th St., Ste. 600 Topeka, KS 66612, Phone: 785-296-3307
Kansas Securities Statutes
Kansas Filing Requirements
Kansas Consumer Protection Division – The Consumer Protection Section of the Kansas Attorney General’s Office investigates scams and consumer complaints, mediates disputes, and prosecutes violations of various consumer protection acts in Kansas.
Kentucky Securities Division The Securities Division of the Kentucky Department of Financial Institutions protects consumers and investigates complaints and suspicious activity in Kentucky.
Department of Financial Institutions Address: 1025 Capital Center Drive, Suite 200, Frankfort, KY 40601, Phone: 502-573-3390
Kentucky Securities Statutes
Kentucky Filing Requirements
Kentucky Consumer Protection Section
Louisiana Securities Division
Louisiana Office of Financial Institutions Securities Division Address: 8660 United Plaza Blvd., 2nd Floor, Baton Rouge, LA 70809, Phone: 225-925-4512
Louisiana Securities Statutes
Louisiana Filing Requirements
Louisiana Consumer Protection Section
Maine Office of Securities
Department of Professional & Financial Regulation Office of Securities: 121 State House Station, Augusta, ME 04333, Phone: 207-624-8551
Maine Securities Statutes
Maine Filing Requirements
Maine Consumer Protection Division
Maryland Securities Division Address: 200 St. Paul Place, Baltimore, MD 21202, Phone: 410-576-6360
Maryland Securities Commission
Maryland Securities Statutes
Maryland Filing Requirements
Maryland Consumer Protection Division
Secretary of the Commonwealth Massachusetts Securities Division Address: McCormack Building 1 Ashburton Place, 17th Floor, Boston, MA 02108, Phone: 617-727-3548
Massachusetts Securities Division
Massachusetts Securities Statutes
Massachusetts Filing Requirements
Massachusetts Consumer Protection Division
Michigan Department of Licensing & Regulatory Affairs Corporations, Securities & Commercial Licensing Bureau Address: P.O. Box 30018, Lansing, MI 48909, Phone: 517-241-6345
Michigan Corporations, Securities & Commercial Licensing Bureau
Michigan Securities Statutes
Michigan Filing Requirements
Minnesota Securities Unit – The Securities Unit of the Minnesota Department of Commerce protects consumers and investors while working towards a responsible expansion the state’s economy.
Minnesota Department of Commerce Securities Unit Address: 85 7th Place East, Suite 500, Saint Paul, MN 55101-2198, Phone: 651-539-1638
Minnesota Securities Statutes
Minnesota Filing Requirements
Minnesota Consumer Assistance – The Minnesota Attorney General’s Office investigates consumer complaints and mediates disputes between consumers and businesses.
Michigan Consumer Protection Section
Broker-Dealer and Investment Adviser Licensing and Compliance Address: 125 S. Congress Street, Jackson, MS 39201; P.O. Box 136 Jackson, MS 39205-0136, Phone: 601-359-6367
Mississippi Securities and Charities Division – The Securities and Charities Division of the Mississippi Secretary of State’s office protects investors and donors from unscrupulous organizations.
Mississippi Securities Statutes – Links to both the new and former securities laws for Mississippi.
Mississippi Filing Requirements
Mississippi Consumer Protection Division
Investor Protection and Securities Address: 600 W. Main Street, Jefferson City, MO 65101, Phone: 573-751-4936
Missouri Securities Division
Missouri Securities Statutes
Missouri Filing Requirements
Missouri Consumer Protection Division
Montana Securities and Insurance Commissioner – The Montana Commissioner of Securities and Insurance protects consumers through insurance and securities regulation.
Office of the Commissioner of Securities and Insurance Address: 840 Helena Ave., Helena, MT 59601, Phone: 800-332-6148
Montana Securities Statutes
Montana Filing Requirements
Montana Office of Consumer Protection
Nebraska Department of Banking & Finance The Nebraska Department of Banking & Finance regulates securities laws as well as supervises various financial industries in the state.
Nebraska Department of Banking & Finance Address: P.O. Box 95006, Lincoln, NE 68509-5006, Phone: 402-471-3445
Nebraska Securities Statutes
Nebraska Filing Requirements
Nebraska Consumer Protection Division
Nevada Secretary of State Las Vegas Office Securities Division Address: 555 east Washington Ave, Suite 5200, Las Vegas, NV 89101, Phone: 702-486-2440
Nevada Securities Division
Nevada Securities Statutes
Nevada Filing Requirements
Nevada Bureau of Consumer Protection
New Hampshire Bureau of Securities Regulation
New Hampshire Bureau of Securities Address: 107 N Main St. #204, Concord, NH 03301, Phone: 603-271-1463
New Hampshire Securities Statutes
New Hampshire Filing Requirements
New Hampshire Consumer Protection and Antitrust Bureau
New Jersey Bureau of Securities
New Jersey Bureau of Securities Address: 153 Halsey St. #6, NEwark, NJ 07102, Phone: 973-504-3600
New Jersey Securities Statutes
New Jersey Filing Requirements
New Jersey Office of Consumer Protection
New Mexico Securities Division
Securities Division Address: 2550 Cerrillos Rd., 3rd Floor, Santa Fe, NM 87505, Phone: 505-476-4580
New Mexico Securities Statutes
New Mexico Filing Requirements
New Mexico Consumer Protection Division
Office of the Attorney General Investor Protection Bureau Address: 120 Broadway, 23rd Floor, New York, NY 10271, Phone: 212-416-8222
New York Investor Protection Bureau
New York Securities Statutes
New York Filing Requirements
New York State Division of Consumer Protection
North Carolina Securities Division
The Securities Division Department of the Secretary of State Address: P.O. Box 29622, Raleigh, NC 27626-0662, Phone: 919-733-3924
North Carolina Securities Statutes
North Carolina Filing Requirements
North Carolina Consumer Protection
North Dakota Securities Department
ND Securities Department Address: 600 East Boulevard Avenue State Capitol, 5th Floor, Bismarck, ND 58505-0510, Phone: 701-328-2910
North Dakota Securities Statutes
North Dakota Filing Requirements
North Dakota Consumer Protection and Antitrust Division
Ohio Division of Securities
Division of Securities Address: 77 South High Street, 22nd Floor, Columbus, OH 43215, Phone 614-644-7381
Ohio Securities Statutes
Ohio Filing Requirements
Ohio Consumer Protection
Oklahoma Securities Commission
Oklahoma Department of Securities Address: Suite 860, First National Center 120 N. Robinson, Oklahoma City, OK 73102, Phone: 405-280-7700
Oklahoma Securities Statutes
Oklahoma Filing Requirements
Oklahoma Public Protection Unit
Oregon Division of Finance and Corporate Securities The DFCS protects investors from securities fraud and licenses businesses engaging in investment securities.
Department of consumer & Business Services Division of Finance and Corporate Securities – Address: P.O. Box 14480, Salem, OR 97309-0405, Phone: 503-378-4140
Oregon Securities Statutes
Oregon Filing Requirements
Oregon Consumer Protection Section
Pennsylvania Department of Banking and Securities
Pennsylvania Department of Banking and Securities Address: 17 North 2nd St., Suite 1300, Harrisburg PA 17101, Phone: 717-787-1854
Pennsylvania Securities Statutes
Pennsylvania Filing Requirements
Pennsylvania Consumer Protection
Department of Business Regulation Address: 1511 Pontiac Avenue, Cranston, RI 02920, Phone: 401-462-9500
Commissioner of Financial Institutions of Puerto Rico The OCFI protects investors from securities fraud in Puerto Rico.
Puerto Rico Securities Statutes
Puerto Rico Filing Requirements
Puerto Rico Consumer Protection
South Carolina Securities Division
Office of the S.C. Attorney General Securities Division Address: P.O. Box 11549, Columbia, SC 29211-1549, Phone: 803-734-9916
South Carolina Securities Statutes
South Carolina Filing Requirements
South Carolina Department of Consumer Affairs
South Dakota Division of Securities
Division of Securities Address: 124 S. Euclid Ave., Suite 104, Pierre, SD 57501-3185. Phone: 605-773-4823
South Dakota Securities Statutes
South Dakota Filing Requirements
South Dakota Division of Consumer Protection
Tennessee Securities Division Address: 8th floor, 500 James Robertson Parkway, Nashville, TN 37243-0575, Phone: 615-741-2947
Tennessee Securities Statutes
Tennessee Filing Requirements
Tennessee Consumer Consumer Affairs Division
Texas State Securities Board Address: P.O. Box 13167, Austin, TX 78711-3167, Phone: 512-305-8300
Texas Securities Statutes
Texas Filing Requirements
Texas Consumer Protection Division
Utah Division of Securities Address: P.O. Box 146760, Salt Lake City, UT 84114-6760, Phone: 801-530-6600
Utah Securities Statutes
Utah Filing Requirements
Utah Division of Consumer Protection
Vermont Securities Division
Department of Financial Regulation Address: 89 Main Street, Montpelier, VT 05620-3101, Phone: 802-828-3301
Vermont Securities Statutes
Vermont Filing Requirements
Vermont Consumer Protection
Virginia Division of Securities & Retail Franchising Address: P.O. Box 1197, Richmond, VA 23218, Phone: 804-371-9051
Virginia Securities Statutes
Virginia Filing Requirements
Virginia Consumer Protection Section
Department of Financial Institutions Securities Division Address: P.O. Box 9033, Olympia, WA 98507-9033, Phone: 360-902-8760
Washington Division of Securities
Washington Securities Statutes
Washington Filing Requirements
Washington Consumer Protection Division
Department of Financial Institutions 201 W. Washington Ave., Suite 500, Madison, WI 53703, Phone: 608-261-9555
Wisconsin Division of Securities
Wisconsin Securities Statutes
Wisconsin Filing Requirements
Wisconsin Bureau of Consumer Protection
Office of the State Auditor Securities Commission Address: 1900 Kanawha Boulevard East State Capitol Complex Building 1, Room W-100, Charleston, WV 25305, Phone: 304-558-2251
West Virginia Securities Commission
West Virginia Securities Statutes
West Virginia Filing Requirements
West Virginia Consumer Protection
Compliance Division Address: State Capitol Building 200 West 24th St., Cheyenne, WY 82002-0020, Phone: 307-777-7370
Wyoming Investing Center
Wyoming Securities Statutes
Wyoming Filing Requirements
Wyoming Consumer Protection Unit