Securities Division
Private Placement Offerings Information
Submission of UIT Notice Filings
Submission of Form D Notice Filings
Crowdfunding Bill Signed Into Law
To Report Financial Exploitation Click Here
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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.
News and Information:
Custodian of Records - Scott Jolly
BlockFi Inc. Files Chapter 11 Bankruptcy
November 28, 2022
FTX Files Chapter 11 Bankruptcy
November 11, 2022
Celsius Network Files Chapter 11 Bankruptcy
July 13, 2022
Voyager
Digital Files Chapter 11 Bankruptcy
July 6, 2022
Daniel Battaglia
Sentenced for Investment Fraud Scheme
October 21, 2020
Private Fund
Advisers Order
September 25, 2020
Notice: Ralph Savoie Sentenced - Click Here For Details
Act 47 of the 2017 Regular Session Excludes Certain Investment Adviser
Representatives From Examination/Certification Requirements
Effective June 4, 2017
Changes to SEC Regulation D - FAQs
"Dishonest or Unethical Practices Rule" for Broker-Dealers and Investment Advisers
Updated November 29, 2022