Commonwealth of Massachusetts
Citizens' Guide to State Services

Published by
William Francis Galvin
Secretary of the Commonwealth
Citizen Information Service

Secretary of the Commonwealth: Securities

N18 Securities Division
Secretary of the Commonwealth
One Ashburton Place, Room 1701
Boston, MA 02108-1512
Tel: 617-727-3548
Toll Free: 1-800-269-5428 (within Mass. only)
Fax: 617-248-0177
Hours: Monday-Friday (except holidays) 8:45 am to 5:00 pm

The Securities Division is responsible for regulating activities of persons and companies in the securities business in accordance with the Massachusetts Uniform Securities Act. Stockbrokers and brokerage firms must be registered with the Securities Division in order to engage in business in Massachusetts. Additionally, stock offerings and other types of investments may have to comply with certain filing and disclosure requirements before being sold in this state. The division investigates citizen's complaints about the fraudulent sale of securities by stockbrokers and issuers. Division staff ensures that there is compliance with state laws and investigates complaints received from the public where it appears that there may be a violation of the law. The division often coordinates its activities with other state and federal regulatory agencies. As of April 1994, the division has the responsibility for licensing financial planners and investment advisors.

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