SEC Stuff



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State List of Securities Offices

One of the best resources other than a knowledgeable attorney or investor has been through the process already is your state securities office. Here is a list of the state securities office websites for all 50 states. Simply click on the link and you’ll go to their website. When there, look for the “mortgage division” or ask to speak with a state attorney in the securities department.

Alaska

Alaska Division of Banking, Securities & Corporations



Alabama

Alabama Securities Commission



Arkansas

Arkansas Securities Department



Arizona

Arizona Corporation Commission, Securities Division



California

California Securities Regulation Division



Colorado

Colorado Department of Regulatory Agencies (Division of Securities)



Connecticut

State of Connecticut, Department of Banking, Division of Securities



DC

Department of Insurance, Securities and Banking (DISB)



Deleware

Delaware, Department of Justice, Division of Securities



Florida

Florida, Office of Financial Regulation, Division of Securities



Georgia

Georgia Secretary of State, Securities Division



Hawaii

Hawaii, Department of Commerce & Consumer Affairs, Securities Branch



Iowa

Iowa Insurance Division: Securities & Regulated Industries Bureau



Idaho

Idaho, Department of Finance, Securities Section



Illinois

Illinois Secretary of State, Securities Department



Indiana

Indiana Secretary of State, Securities Division



Kansas

Kansas, Office of the Securities Commissioner



Kentucky

Kentucky: Department of Financial Institutions (DFI)



Louisiana

State of Louisiana, Office of Financial Institutions, Securities Division



Massachusetts

Massachusetts Securities Division, Secretary of the Commonwealth



Maryland

Maryland Attorney General - Securities Division



Maine

Department of Financial Regulation, Office of Securities, State of Maine



Michigan

Office of Financial and Insurance Services, Division of Securities



Minnesota

Minnesota Department of Commerce, Division of Securities



Missouri

Missouri, Secretary of State, Securities Division



Mississippi

Mississippi Secretary of State, Business Regulation & Enforcement Division



Montana

Montana State Auditor’s Office, Securities Department



North Carolina

North Carolina Securities Division



North Dakota

North Dakota Securities Department



Nebraska

State of Nebraska: Department of Banking and Finance (NDBF), Bureau of Securities



New Hampshire

New Hampshire, Bureau of Securities Regulation, Department of State



New Jersey

New Jersey, Department of Law and Public Safety, Bureau of Securities



New Mexico

New Mexico, Regulation & Licensing Dept, Securities Division



Nevada

Nevada Securities Center



New York

State of New York, Investor Protection and Securities Bureau



Ohio

Ohio, Department of Commerce, Division of Securities



Oklahoma

Oklahoma Securities Commission, Department of Securities



Oregon

Oregon, Division of Finance and Corporate Securities (DFCS)



Pennsylvania

Pennsylvania Securities Commission, Eastgate Office Building



Rhode Island

State of Rhode Island, Department of Business Regulation



South Carolina

South Carolina Attorney General, Securities Division



South Dakota

South Dakota, Division of Securities



Tennessee

Tennessee, Department of Commerce & Insurance, Securities Division



Texas

Texas State Securities Board



Utah

State of Utah Division of Securities



Virginia

Virginia Division of Securities and Retail Franchising



Vermont

Department of Banking, Insurance, Securities & Health Care Administration (BISHCA)



Washington

Washington State Department of Financial Institutions (DFI), Securities Division



Wisconsin

State of Wisconsin Department of Financial Institutions (WDFI)



West Virginia

West Virginia, Department of Financial Institutions, Division of Securities



Wyoming

Wyoming, Secretary of State, Securities Division



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