Securities Division


Notice: Ralph Savoie Sentenced  -  Click Here For Details

Crowdfunding Bill Signed Into Law


To Report Financial Exploitation Click Here


CHECK BEFORE YOU INVEST!

Don't become a fraud victim.  Contact us before you purchase
a security or do business with an investment professional.

Check out your Broker
Check out your Investment Adviser
Check out an Investment

Securities Offerings   Broker-Dealers & Agents   Investment Advisers
Investor Alerts   FAQs   Criminal Prosecutions
Investor Education   Statutes, Rules and Policies   Filing a Complaint
Forms   Contact Information   Related Links

This division registers securities offerings for sale to the public and licenses broker-dealers, agents, and investment advisers.  Working in close cooperation with the Financial Industry Regulatory Authority and the United States Securities and Exchange Commission, this section also investigates and originates enforcement actions regarding unfair practices, complaints, and violations of law regarding a variety of securities activities.

Uniform Service Member Exemption Form


News and Information:

Act 47 of the 2017 Regular Session Excludes Certain Investment Adviser Representatives From Examination/Certification Requirements
Effective June 4, 2017

Changes to SEC Regulation D - FAQs

"Dishonest or Unethical Practices Rule" for Broker-Dealers and Investment Advisers


Updated December 20, 2018