List of US state security regulators

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List of US state security regulators covers state agencies that are responsible for protecting consumers who purchase securities or investment advice. Their jurisdiction extends over licensing firms and their agents, investigating violations of state and provincial law, filing enforcement actions when appropriate, and educating the public about investment fraud. [1] [note 1]

This list page provides links to the websites of the fifty state security regulators, with additional links to the regulatory agencies of the District of Columbia and Puerto Rico. Canadian provincial and territorial security regulators can be found at Canadian security regulators.

State Main Site State Main Site
Alabama link Montana link
Alaska link Nebraska link
Arizona link Nevada link
Arkansas link New Hampshire link
California link New Jersey link
Colorado link New Mexico link
Connecticut link New York link
Delaware link North Carolina link
District of Columbia link North Dakota link
Florida link Ohio link
Georgia link Oklahoma link
Hawaii link Oregon link
Idaho link Pennsylvania link
Illinois link Puerto Rico link
Indiana link Rhode Island link
Iowa link South Carolina link
Kansas link South Dakota link
Kentucky link Tennessee link
Louisiana link Texas link
Maine link Utah link
Maryland link Vermont link
Massachusetts link Virginia link
Michigan link Washington link
Minnesota link West Virginia link
Mississippi link Wisconsin link
Missouri link    

Notes

  1. At the federal level, the U.S. Securities and Exchange Commission has responsibilities to:
    • interpret federal securities laws;
    • issue new rules and amend existing rules;
    • oversee the inspection of securities firms, brokers, investment advisers, and ratings agencies;
    • oversee private regulatory organizations in the securities, accounting, and auditing fields; and
    • coordinate U.S. securities regulation with federal, state, and foreign authorities.
    Reference: How the SEC Protects Investors, Maintains Market Integrity, and Facilitates Capital Formation (Securities and Exchange Commission)
    According to North American Securities Administrators Association:

    State securities regulation predates the creation of the federal Securities and Exchange Commission by almost two decades. ...the securities administrator in your state is responsible for licensing securities firms and investment professionals, such as broker-dealers and investment advisers, registering certain securities offerings, reviewing financial offerings of small companies, auditing branch office sales practices and record-keeping, promoting investor education, and most importantly, enforcing state securities laws. In addition to protecting investors, many state regulators also help small businesses raise money and comply with securities laws.

References

  1. NASAA , North American Securities Administrators Association

External links