Commonwealth of Massachusetts
Citizens' Guide to State Services

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

Consumer: Securities

D24 Securities Division
Office of the Secretary of the Commonwealth
One Ashburton Place, Room 1701
Boston, MA 02108
Tel: 617-727-3548
Toll Free: 1-800-269-5428 (within Mass. only)
Fax: 617-248-0177
www.sec.state.ma.us/sct/sctidx.htm
E-mail: securities@sec.state.ma.us

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. The division also licenses financial planners and investment advisors. Additionally, stock offerings and other types of investments may have to comply with certain disclosure requirements before being sold in this state. Division staff ensure that there is compliance with applicable state laws and investigate citizen's complaints about the fraudulent sale of securities by stockbrokers and issuers. The division often coordinates its activities with other state and federal regulatory agencies.


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