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Individual US State Securities Regulatory Agencies

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.

Alabama                       Montana
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
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.com.  For a free consultation with a securities attorney, please call the firm’s offices at 888-637-5510.

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