United States

Pennsylvania Department of Banking and Securities Pennsylvania Department of Banking and Securities- Administers the Pennsylvania Securities Act of 1972. Investor information and Recent Enforcement Actions available. Vermont Department of Financial Regulation Vermont Department of Financial Regulation- Includes the Insurance Division, the Securities Division and the Banking Division. Minnesota Department of Commerce Minnesota Department of Commerce- Responsibilities include insuring the financial soundness of financial and insurance companies and preventing unfair business practices. South Dakota - Division of Banking South Dakota - Division of Banking- Part of the Department of Labor. West Virginia Division of Financial Institutions West Virginia Division of Financial Institutions- Part of the Department of Commerce, Labor and Environmental Resources, it oversees the state's financial services industry to fos… Maine State Office of Securities Maine State Office of Securities- Protects investors by investigating and prosecuting violations of the securities laws; licensing broker-dealers, sales representatives, and inves… North Dakota Securities Department North Dakota Securities Department- Mission is to strengthen the integrity of the marketplace for securities, franchises and commodities in North Dakota. Wyoming Department of Audit, Division of Banking Wyoming Department of Audit, Division of Banking- Promotes a progressive banking environment, ensures fair and lawful consumer related financial transactions, provides the public … New York State Department of Financial Services New York State Department of Financial Services- Primary regulator for state-licensed and state-chartered financial entities and other financial institutions operating in New York. Texas Department of Banking Texas Department of Banking- Charters, licenses, and regulates financial providers in the state of Texas to ensure that Texas has a safe and sound financial services system. Arkansas State Bank Department Arkansas State Bank Department- Charged with regulating the safety and soundness of state financial institutions for which it serves as primary regulator, in order to assure publi… Tennessee Department of Financial Institutions Tennessee Department of Financial Institutions- Has legal responsibility for assuring the system of state-chartered banks, credit unions, and other financial institutions runs on … Nebraska Department of Banking and Finance Nebraska Department of Banking and Finance- Comprised of two divisions, Financial Institutions, and Bureau of Securities. Montana - State Auditor and Commissioner of Insurance and Securities Montana - State Auditor and Commissioner of Insurance and Securities- With sections for consumers, seniors, insurance, securities, and the land board. Massachusetts Securities Division Massachusetts Securities Division- Divided into sub-divisions of: Enforcement; Corporate Finance; and Licensing and Registration. Arizona Corporation Commission (Securities Division) Arizona Corporation Commission (Securities Division)- Includes advice on risk in investing, and suggestions as to how to ascertain the value (if any) of old securities. New Hampshire Banking Department New Hampshire Banking Department- Protects the public interest by securing the safety and soundness of banking and by promoting fair competition. Indiana Securities Division Indiana Securities Division- Includes detailed description of the operations of pedlers of duff micro stocks, and how to avoid them. American Association of Residential Mortgage Regulators American Association of Residential Mortgage Regulators- Promoting information exchange between those who regulate residential mortgage lending, servicing and brokering. Kansas - Office of the State Bank Commissioner Kansas - Office of the State Bank Commissioner- Regulates all state chartered banks and trust companies, savings and loan companies, mortgage businesses, and money transmitters, t… Kansas - Office of the Kansas Securities Commissioner Kansas - Office of the Kansas Securities Commissioner- The first state to regulate the securities industry (in 1911, preventing the sale of securities which had nothing behind the… Maryland Division of Financial Regulation Maryland Division of Financial Regulation- Part of the Department of Labor, Licensing and Regulation. Colorado Department of Regulatory Agencies (Division of Securities) Colorado Department of Regulatory Agencies (Division of Securities)- The mission of the Division is to protect investors and maintain public confidence in the securities markets w… Colorado Department of Regulatory Agencies (Division of Banking) Colorado Department of Regulatory Agencies (Division of Banking)- Responsible for the regulation of state chartered commercial banks, trust companies, industrial banks, money orde… Nevada Financial Institutions Division Nevada Financial Institutions Division- Enforces regulations and licenses various financial activities, including depository, lending, collection and money transmission activities. New Jersey Department of Banking and Insurance New Jersey Department of Banking and Insurance- Regulator of the banking, insurance and real estate industries in New Jersey. Oregon Division of Finance and Corporate Securities Oregon Division of Finance and Corporate Securities- Part of the Department of Consumer and Business Services. Tennessee Department of Commerce and Insurance Tennessee Department of Commerce and Insurance- Includes the Securities Division which licenses brokers, dealers and investigates fraud; and the Insurance Division, which regulate… Pennsylvania Department of Banking Pennsylvania Department of Banking- Ensure the safety and soundness of state-chartered deposit-taking institutions. Washington State Department of Financial Institutions Washington State Department of Financial Institutions- Includes the Banks Division, Consumer Services Division, Credit Unions Division and the Securities Division.