The Securities and Exchange Commission (SEC) is the primary governmental agency that oversees the securities industry. The mission of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. However, they are not the only agencies who help protect investors, each state has a regulatory agency.
US states have their own securities laws and regulations. State regulatory agencies are dedicated to protecting investors and enforcing theses laws. In addition, they license financial professional and register securities. Although state regulators do not provide financial advice, they investigate investors complaints, and many provide educational resources and programs. Below you will find the link to each states securities regulatory agency’s website.
Alaska Nebraska
Arizona Nevada
Arkansas New Hampshire
California New Jersey
Colorado New Mexico
Connecticut New York
Delaware North Carolina
Florida North Dakota
Georgia Ohio
Hawaii Oklahoma
Idaho Oregon
Illinois Pennsylvania
Indiana Rhode Island
Iowa South Carolina
Kansas South Dakota
Kentucky Tennessee
Louisiana Texas
Utah
Maryland Vermont
Massachusetts Virginia
Michigan Washington
Minnesota West Virginia
Mississippi Wisconsin
Missouri Wyoming
The foregoing information is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.
For more information on The White Law Group, visit https://www.whitesecuritieslaw.
