Securities Links
Other Organizations
Organization Name |
Organization Type |
URL |
|---|---|---|
NASAA (North American Securities Administrators Association) |
Voluntary association of state, provincial, and territorial securities administrators in the US, Puerto Rico, Virgin Islands, Canada, and Mexico |
|
Commonwealth of Massachusetts |
State government |
|
Secretary of the Commonwealth of Massachusetts |
State government |
|
U.S. Securities and Exchange Commission; Enforcement Division |
Federal government securities regulatory agency |
|
U.S. Securities and Exchange Commission; EDGAR database of information about public companies |
Federal government securities regulatory agency |
|
U.S. Securities and Exchange Commission |
Federal government securities regulatory agency |
|
U.S. Securities and Exchange Commission; Small Business Information |
Federal government securities regulatory agency |
|
FINRA (Financial Industry Regulatory Authority) |
Non-profit securities self-regulatory organization |
|
National White Collar Crime Center (NW3C) |
Provides nationwide support services for enforcement agencies involved in the prevention, investigation, and prosecution of economic and high-tech crime |
|
Internet Fraud Complaint Center (IFCC) |
A partnership between the Federal Bureau of Investigation and the National White Collar Crime Center, the IFCC addresses fraud committed over the Internet |
|
Investing Online Resource Center (IORC) |
Site designed for educational purposes to serve as a source for noncommercial information about investing online |
|
Securities Lawyer’s Deskbook published by the University of Cincinnati College of Law |
Educational institution; site contains text of state and federal securities laws and regulations, as well as links to useful securities resources |
|
Library of Congress |
Federal government agency |
|
“Business Getaway” of the U.S. Government (partnership among 22 federal gov’t agencies) |
Federal government agency that provides access to federal, state, and local information designed to help business owners successfully start, operate, and remain in legal compliance |
|
U.S. Small Business Administration |
Federal government agency |
|
U.S. Federal Trade Commission; Bureau of Consumer Information |
Federal government consumer information agency |
|
U.S. Federal Trade Commission |
Federal government fraud regulatory and consumer protection agency |
|
U.S. Commodity Futures Trading Commission (CFTC) |
Federal government securities regulatory agency that ensures integrity of commodity futures and option markets in the U.S. |
|
Municipal Securities Rulemaking Board (MSRB) |
Federal government securities regulatory agency that sets standards for municipal securities dealers |
|
Public Investors Arbitration |
Non-profit association whose members focus on representation of investors in dispute with the securities industry |
|
Investor Protection Trust |
Non-profit consumer protection and education organization |
|
National Consumer's League's Fraud Center |
Non-profit consumer protection and education organization |
|
The Better Business Bureau (BBB) |
Non-profit consumer protection and education organization |
|
American Association of Retired Persons (AARP) |
Non-profit consumer protection and educational organization |
|
International Organization of Securities Commissions (IOSCO) |
Non-profit organization that serves as an international cooperative forum for securities regulatory agencies |
|
National Futures Association |
Non-profit self-regulatory organization for the futures industry |
|
United States Postal Inspection Service |
Agency focused on detecting and preventing fraudulent use of the mail system |
|
NASDAQ OMX Group, Inc. |
Securities Exchange |
|
Formerly known as American Stock Exchange--see NYSE Alternext U.S. |
Securities Exchange |
|
Formerly known as Boston Stock Exchange—see NASDAQ |
Securities Exchange |
|
Chicago Board of Options Exchange |
Securities Exchange |
|
Chicago Stock Exchange |
Securities Exchange |
|
New York Stock Exchange |
Securities Exchange |
|
Formerly known as Philadelphia Stock Exchange—see NASDAQ |
Securities Exchange |
|
Certified Financial Planner Board of Standards, Inc. |
Self-regulatory organization |
Other State Securities Regulators
Alabama
Securities Commission
770 Washington Ave., Suite 570
Montgomery, AL 36130-4700
Phone: 334-242-2984 or 800-222-1253
Fax: 334-242-0240
http://asc.alabama.gov
Alaska
Department of Commerce, Community and Economic Development
Division of Banking and Securities
150 Third Street, Room 217
Juneau, AK 99801
Phone: 907-465-2521
Fax: 907-465-2549
http://www.dced.state.ak.us/bsc/home.htm
Mailing Address:
P.O. Box 110807
Juneau, AK 99811-0807
Arizona
Corporation Commission
Securities Division
1300 West Washington St., Third Floor
Phoenix, AZ 85007
Phone: 602-542-4242
Fax: 602-594-7470
http://www.azcc.gov/Divisions/securities
http://www.azinvestor.gov
Arkansas
Securities Department
Heritage West Building
201 East Markham, Room 300
Little Rock, AR 72201-1692
Phone: 501-324-9260
Fax: 501-324-9268
http://www.securities.arkansas.gov
California
Department of Corporations
Executive Office-Sacramento Headquarters
Securities Regulation Division
1515 K Street. Suite 200
Sacramento, CA 95814-4052
Phone: 916-445-7205
Fax: 916-322-8864
http://www.corp.ca.gov/srd/default.asp
Colorado
Department of Regulatory Agencies
Division of Securities
1560 Broadway, Suite 900
Denver, CO 80202
Phone: 303-894-2320
Fax: 303-861-2126
http://www.dora.state.co.us/Securities
Connecticut
Department of Banking
260 Constitution Plaza
Hartford, CT 06103-1800
Phone: 860-240-8230 or 800-831-7225
Fax: 860-240-8295
http://www.ct.gov/dob
Delaware
Department of Justice
Division of Securities
Carvel State Office Building
820 North French St., 5th Floor
Wilmington, DE 19801
Phone: 302-577-8424
Fax: 302-577-6987
http://www.investorresourcecenter.org
District of Columbia
Department of Insurance, Securities, and Banking
Securities Bureau
810 First Street NE, Suite 701
Washington, D.C. 20002
Phone: 202-442-7800
Fax: 202-535-1196
http://www.disr.dc.gov
Florida
Financial Services Commission
Office of Financial Regulation
200 East Gaines Street
Tallahassee, FL 32399-0372
Phone: 850-410-9500
Fax: 850-410-9748
http://www.fldfs.com
Georgia
Office of the Secretary of State
Division of Securities and Business Regulation
Two Martin Luther King Jr. Drive SE
802 West Tower
Atlanta, GA 30334
Phone: 404-656-3920
Fax: 404-657-8410
http://www.sos.state.ga.us/securities/
Hawaii
Department of Commerce & Consumer Affairs
335 Merchant Street, Room 203
Honolulu, HI 96813
Phone: 808-586-2744
Fax: 808-586-2733
http://hawaii.gov/dcca/areas/sec
Mailing Address:
P.O. Box 40
Honolulu, HI 96810
Idaho
Department of Finance
800 Park Boulevard
Suite 200
Bose, ID 83712
Phone: 208-332-8004
Fax: 208-332-8099
http://finance.idaho.gov
Mailing Address:
P.O. Box 83720
Boise, ID 83720-0031
Illinois
Office of the Secretary of State
Securities Department
69 West Washington, Suite 1220
Chicago, IL 60602
Phone: 312-793-3384
Fax: 312-793-1202
http://www.ilsos.net/departments/securities
Springfield Office:
Office of the Secretary of State
Securities Department
300 West Jefferson Street, Suite 300A
Springfield, IL 62702
Phone: 217-782-2256
Fax: 217-782-8876
Indiana
Office of the Secretary of State
Securities Division
302 West Washington St.
Room E-111
Indianapolis, IN 46204
Phone: 317-232-6681
Fax: 317-233-3675
http://www.in.gov/sos/securities/index.html
Iowa
Insurance Division
Securities Bureau
340 Maple St.
Des Moines, IA 50319-0066
Phone: 515-281-4441
Fax: 515-281-3059
http://www.iid.state.ia.us/
Kansas
Office of the Securities Commissioner
618 S. Kansas Ave., 2nd Floor
Topeka, KS 66603-3804
Phone: 785-296-3307
Fax: 785-296-6872
http://www.securities.state.ks.us
Kentucky
Department of Financial Institutions
Division of Securities
1025 Capital Center Drive, Suite 200
Frankfort, KY 40601
Phone: 502-573-3390 or 800-223-2579
Fax: 502-573-2182
http://www.kfi.ky.gov
Louisiana
Securities Commission
8660 United Plaza Blvd.
2nd Floor
Baton Rouge, LA 70809-7024
Phone: 225-925-4512
http://www.ofi.state.la.us
Maine
Department of Professional and Financial Regulation
Securities Division
121 State House Station
Augusta, ME 04333-0121
Phone: 207-624-8551
Fax: 207-624-8590
http://www.investors.maine.gov
Maryland
Office of the Attorney General
Division of Securities
200 St. Paul Place
Baltimore, MD 21202-2020
Phone: 410-576-6360
Fax: 410-576-6532
http://www.oag.state.md.us/securities
Massachusetts
Secretary of the Commonwealth
Securities Division
One Ashburton Place, 17th Floor
Boston, MA 02108
Phone: 617-727-3548 or 800-269-5428 (within Massachusetts only)
Fax: 617-248-0177
http://www.sec.state.ma.us/sct
Michigan
Department of Energy, Labor, and Economic Growth
Office of Financial and Insurance Regulation
Division of Securities
Ottawa Building, 2nd Floor
611 W. Ottawa Street
Lansing, MI 48933
Phone: 877-999-6442 or 517-373-0220
Fax: 517-335-4978
http://www.michigan.gov/ofis
Mailing Address:
P.O. Box 30701
Lansing, MI 48909-8201
Minnesota
Department of Commerce
Securities Division
85 Seventh Place East, Suite 500
St. Paul, MN 55101-2198
Phone: 651-296-4026
Fax: 651-296-4328
http://www.state.mn.us/
Mississippi
Secretary of State’s Office
Securities Enforcement and Regulation
700 North Street
Suite 601
Jackson, MS 39202
Phone: 800-804-6364
Fax: 601-359-2663
http://www.sos.state.ms.us/regenf/securities/securities.asp
Mailing Address:
P.O. Box 136
Jackson, MS 39205
Missouri
Office of the Missouri Secretary of State
Securities Division
600 West Main Street
Jefferson City, MO 65101-1276
Phone: 573-751-4136
Fax: 573-526-3124
http://www.sos.mo.gov/securities
Montana
State Auditor’s Office
Securities Department
840 Helena Avenue
Helena, MT 59601
Phone: 406-444-2040 or 800-332-6148 (within Montana only)
Fax: 406-444-5558
http://sao.mt.gov/securities/index.asp
Mailing Address:
P. O. Box 4009
Helena, MT 59604-4009
Nebraska
Department of Banking and Finance
Bureau of Securities
Commerce Court
1230 “O” Street, Suite 400
Lincoln, NE 68508
Phone: 402-471-3445
http://www.ndbf.ne.gov
Mailing Address:
P.O. Box 95006
Lincoln, NE 68509-5006
Nevada
Secretary of State
Securities Division
555 E. Washington Ave.
5th Floor, Suite 5200
Las Vegas, NV 89101
Phone: 702-486-2440
Fax: 702-486-2452
http://nvsos.gov/securities
New Hampshire
Department of State
Bureau of Securities Regulation
107 N. Main Street
State House, Room 204
Concord, NH 03301-4989
Phone: 603-271-1463 or 800-994-4200
Fax: 603-271-7933
http://www.sos.nh.gov/securities
Mailing Address:
Department of State
Bureau of Securities Regulation
PO Box 3715
Concord, NH 03302-3715
New Jersey
Department of Law and Public Safety
Bureau of Securities
153 Halsey St., 6th Floor
Newark, NJ 07102
Phone: 973-504-3600
Fax: 973-504-3601
http://www.njsecurities.gov
Mailing Address:
P.O. Box 47029
Newark, NJ 07101
New Mexico
Regulation and Licensing Department
Securities Division
Toney Anaya Building
2550 Cerrillos Road, Third Floor
Santa Fe, NM 87505-7605
Phone: 505-476-4580
Fax: 505-984-0617
http://www.rld.state.nm.us/securities/index.html
New York
Office of the Attorney General
Investor Protection Bureau
120 Broadway, 23rd Floor
New York, NY 10271
Phone: 212-416-8222
Fax: 212-416-8816
http://www.oag.state.ny.us/bureaus/investor_protection/about.html
North Carolina
Department of the Secretary of State
Securities Division
2 South Salisbury St.
Raleigh, NC 27601-2903
Phone: 919-733-3924 or 800-688-4507
Fax: 919-821-0818
http://www.secretary.state.nc.us/sec/
Mailing Address:
P.O. Box 29622
Raleigh, NC 27626-0622
North Dakota
North Dakota Securities Department
State Capitol Building, 5th Floor
600 East Boulevard Ave., Department 414
Bismarck, ND 58505-0510
Phone: 701-328-2910 or 800-297-5124
Fax: 701-328-2946
http://www.ndsecurities.com
Ohio
The Ohio Department of Commerce
Division of Securities
77 South High St., 22nd Floor
Columbus, OH 43215-6131
Phone: 614-644-7381
Fax: 614-466-3316
http://www.com.ohio.gov/secu/
Oklahoma
Department of Securities
Suite 860, First National Center
120 North Robinson
Oklahoma City, OK 73102
Phone: 405-280-7700
Fax: 405-280-7742
http://www.securities.ok.gov
Oregon
Department of Consumer and Business Services
Division of Finance and Corporate Securities (DFCS)
350 Winter Street NE, Room 410
Salem, OR 97301-3881
Phone: 503-378-4140 or 866-814-9170 (within Oregon only)
Fax: 503-947-7862
http://www.dfcs.oregon.gov
Pennsylvania
Securities Commission
Harrisburg Office:
Eastgate Office Building, 2nd Floor
1010 North Seventh Street
Harrisburg, PA 17102-1410
Phone: 717-787-8061
Fax: 717-783-5122
Philadelphia Office:
1400 Spring Garden Street, Suite 1100
Philadelphia, PA 19130-4088
Phone: 215-560-2088
Fax: 215-560-3977
Pittsburgh Office:
300 Liberty Avenue, 806 State Office Building
Pittsburgh, PA 15222-1210
Phone: 412-565-5083
Fax: 412-565-7646
http://www.psc.state.pa.us/
Puerto Rico
Commissioner of Financial Institutions
Fernandez Juncos Station
P.O. Box 11855
San Juan, Puerto Rico 00910-3855
Phone: 787-723-3131
Fax: 787-723-4225
http://www.cif.gov.pr/index_eng.html
Rhode Island
Department of Business Regulation
Securities Division
1511 Pontiac Avenue, John O. Pastore Complex
Bldg. 69-1
Cranston, RI 02920
Phone: 401-462-9527
Fax: 401-462-9645
http://www.dbr.state.ri.us/
South Carolina
Office of the S.C. Attorney General
Securities Division
Rembert C. Dennis Office Building
1000 Assembly Street, Suite 501
Columbia, SC 29201
Phone: 803-734-9916
Fax: 803-734-3677
http://www.scattorneygeneral.org/securities/index.html
Mailing Address:
P.O Box 11549
Columbia, SC 29211-1549
South Dakota
Division of Securities
445 E. Capitol Avenue
Pierre, SD 57501
Phone: (605)-773-4823
Fax: (605)-773-5953
http://www.state.sd.us/drr2/reg/securities
Tennessee
Department of Commerce and Insurance
Securities Division
500 James Robertson Pkwy.
Davy Crockett Tower, Suite 680
Nashville, TN 37243-0575
Phone: 615-741-2947
Fax: 615-532-8375
http://www.tennessee.gov/commerce/securities
Texas
Texas State Securities Board
Rusk Building
208 East 10th Street, 5th Floor
Austin, Texas 78701
Phone: 512-305-8300
Fax: 512-305-8310
http://www.ssb.state.tx.us
Mailing Address:
P.O. Box 13167
Austin, Texas 78711-3167
U.S. Virgin Islands
Office of the Lt. Governor
Division of Banking and Insurance
5049 Kongens Gade
Saint Thomas, USVI 00802-6487
Phone: 340-774-7166
Fax: 340-774-9458
Utah
Division of Securities
160 East 300 South, 2nd Floor
Salt Lake City, Utah 84111
Phone: 801-530-6600
Fax: 801-530-6980
http://www.securities.state.ut.us
Mailing Address:
Box 146760
Salt Lake City, Utah 84114-6760
Vermont
Department of Banking, Insurance, Securities and Health Care Administration
Securities Division
89 Main St., 3rd Floor
Montpelier, VT 05620-3101
Phone: 802-828-3420
Fax: 802-828-2896
http://www.bishca.state.vt.us/SecuritiesDiv/securindex.htm
Virginia
State Corporation Commission
Division of Securities and Retail Franchising
Tyler Building, 9th Floor
1300 E. Main St.
Richmond, Virginia 23219
Phone: 804-371-9051
Fax: 804-371-9911
http://www.scc.virginia.gov/srf
Mailing Address:
P.O. Box 1197
Richmond, Virginia 23218
Washington
Department of Financial Institutions
Securities Division
150 Israel Rd SW
Tumwater, WA 98501
Phone: 360-902-8760
Fax: 360-902-0524
http://www.dfi.wa.gov/sd
Mailing Address:
PO Box 9033
Olympia, WA 98507-9033
West Virginia
Office of the State Auditor
Securities Commission
Building 1, Room W-100
Charleston, WV 25305
Phone: 304-558-2257
Fax: 304-558-4211
http://www.wvsao.gov/securitiescommission
Wisconsin
Department of Financial Institutions
Division of Securities
345 West Washington Ave., 4th Floor
Madison, WI 53703
Phone: 608-266-1064
Fax: 608-264-7979
http://www.wdfi.org/fi/securities/
Mailing Address:
P.O. Box 1768
Madison, WI 53701-1768
Wyoming
Secretary of State
Compliance Division, Securities Regulation
State Capitol Building
Cheyenne, WY 82002-0020
Phone: 307-777-7370
Fax: 307-777-7640
http://soswy.state.wy.us/compliance/secregistration.aspx