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               NebraskaÂ
Arizona             Nevada
Arkansas            New HampshireÂ
California            New JerseyÂ
Colorado            New Mexico
Connecticut         New York
Delaware            North CarolinaÂ
Florida              North Dakota
Georgia              Ohio
Hawaii               OklahomaÂ
Idaho               OregonÂ
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          WisconsinÂ
Missouri             WyomingÂ
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.
