Securities Links

Other Organizations

Organization Name

Organization Type

U.R.L.

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

www.nasaa.org

Commonwealth of Massachusetts

State government

www.mass.gov

Secretary of the Commonwealth of Massachusetts

State government

www.sec.state.ma.us

U.S. Securities and Exchange Commission; Enforcement Division

Federal government securities regulatory agency

www.sec.gov/enforce.htm

U.S. Securities and Exchange Commission; EDGAR database of information about public companies

Federal government securities regulatory agency

www.sec.gov/edgar/searchedgar/webusers.htm

U.S. Securities and Exchange Commission

Federal government securities regulatory agency

www.sec.gov

U.S. Securities and Exchange Commission; Small Business Information

Federal government securities regulatory agency

www.sec.gov/smbus1.htm

FINRA (Financial Industry Regulatory Authority)

Non-profit securities self-regulatory organization

www.finra.org

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

www.nw3c.org

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

www.ic3.gov

Investing Online Resource Center (IORC)

Site designed for educational purposes to serve as a source for noncommercial information about investing online

http://www.investingonline.org

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

www.law.uc.edu/library/securities-lawyers-deskbook

Library of Congress

Federal government agency

lcweb.loc.gov/homepage/lchp.html

“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

www.business.usa.gov

U.S. Small Business Administration

Federal government agency

www.sbaonline.sba.gov

U.S. Federal Trade Commission; Bureau of Consumer Information

Federal government consumer information agency

www.ftc.gov/bcp/consumer.htm

U.S. Federal Trade Commission

Federal government fraud regulatory and consumer protection agency

www.ftc.gov

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.

www.cftc.gov

Municipal Securities Rulemaking Board (MSRB)

Federal government securities regulatory agency that sets standards for municipal securities dealers

www.msrb.org

Public Investors Arbitration
Bar Association (PIABA)

Non-profit association whose members focus on representation of investors in dispute with the securities industry

www.piaba.org

Investor Protection Trust

Non-profit consumer protection and education organization

www.investorprotection.org

National Consumer's League's Fraud Center

Non-profit consumer protection and education organization

www.fraud.org/

The Better Business Bureau (BBB)

Non-profit consumer protection and education organization

www.bbb.org/

American Association of Retired Persons (AARP)

Non-profit consumer protection and educational organization

www.aarp.org

International Organization of Securities Commissions (IOSCO)

Non-profit organization that serves as an international cooperative forum for securities regulatory agencies

www.iosco.org

National Futures Association

Non-profit self-regulatory organization for the futures industry

www.nfa.futures.org

United States Postal Inspection Service

Agency focused on detecting and preventing fraudulent use of the mail system

postalinspectors.uspis.gov

NASDAQ OMX Group, Inc.

Securities Exchange

www.nasdaq.com
www.nasdaqomxtrader.com

Formerly known as American Stock Exchange--see NYSE Alternext U.S.

Securities Exchange

www.nyse.com

Formerly known as Boston Stock Exchange—see NASDAQ

Securities Exchange

www.nasdaqomx.com

Chicago Board of Options Exchange

Securities Exchange

www.cboe.com

Chicago Stock Exchange

Securities Exchange

www.chx.com

New York Stock Exchange

Securities Exchange

www.nyse.com

Formerly known as Philadelphia Stock Exchange—see NASDAQ

Securities Exchange

www.nasdaqomx.com

Certified Financial Planner Board of Standards, Inc.

Self-regulatory organization

www.cfp.net


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