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

N19 Securities Division
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
Online Complaint Form:
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. The Division is made up of three sections: Corporate Finance; Enforcement; and Registration, Inspections, Compliance and Examinations (RICE). The Division endeavors to protect Massachusetts investors by taking appropriate enforcement and disciplinary actions. Investment advisers, broker-dealers and certain associated persons must be registered with the Division in order to engage in business in Massachusetts. Additionally, securities offerings and other types of investments may have to comply with certain filing and disclosure requirements before being sold in the Commonwealth. Division staff is tasked with ensuring that there is compliance with state securities laws and investigating complaints received from the public where it appears that there may be a violation of the law. The Division also provides investor education through speakers and presentations. The Division often coordinates its activities with other state and federal regulatory and law enforcement agencies. Please contact the Division with any questions, concerns, complaints, or to verify the registration status of your adviser.

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