National and State Resources

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You can view FINRA Regional Office Locations or click on a state below to view the resources specific to that state.

State Resources

ALABAMA

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.

Learn More About:

ALASKA

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

MASSACHUSETTS

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

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

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

MISSISSIPPI

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

MISSOURI

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

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

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

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

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

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

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

NEW YORK

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

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

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

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

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

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

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

RHODE ISLAND

Department of Business Regulation Address: 1511 Pontiac Avenue, Cranston, RI 02920, Phone: 401-462-9500

PUERTO RICO

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

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

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

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

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

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

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

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

WASHINGTON

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

WISCONSIN

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

WEST VIRGINIA

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

WYOMING

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