Securities Division

Emergency Flooding Guidance

Investor Alert - Flood


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This division registers securities offerings for sale to the public and licenses broker-dealers, agents, and investment advisers.  Working in close cooperation with the Financial Industry Regulatory Authority and the United States Securities and Exchange Commission, this section also investigates and originates enforcement actions regarding unfair practices, complaints, and violations of law regarding a variety of securities activities.

Uniform Service Member Exemption Form

 Updated July 29, 2011
Investment Adviser Switch to State Regulation

Notice to Investment Advisers -
New Form ADV "Part 2" Filing & Use

 October 19, 2010

Stanford Financial Group Updates
The Louisiana Office of Financial Institutions (LOFI) has been working with other state and federal regulatory agencies in an effort to identify and resolve issues relating to various Stanford-related companies operating here in the United States. Click here for Stanford Receiver's web page. Clients and investors may also direct questions to the Receiver via email to

Hanover Investment Securities Placed into Liquidation