State Securities Regulators

In addition to the rules and regulations of the Securities and Exchange Commission (“SEC”), each State has its own rules and regulators. Below is a listing of the various state administrators, with links to the State Regulator websites and relevant contact information. The various state websites provide information regarding applicable securities laws and “blue sky laws”.

ALABAMA
Alabama Securities Commission
770 Washington Avenue, Suite 570
Montgomery, AL 36130-4700
Phone: (334) 242-2984
Fax: (334) 242-0240
Email
Website

ALASKA
Department of Commerce
Division of Banking, Securities & Corporations
150 Third Street, Room 217
Juneau, AK 99811-0807
Phone: (907) 465-2521
Fax: (907) 465-2549
Email
Website

ARIZONA
Corporation Commission
Securities Division
1300 West Washington Street, Third Floor
Phoenix, AZ 85007
Phone: (602) 542-4242
Fax: (602) 594-7470
Email
Website

ARKANSAS
Securities Department
201 East Markham Street, 3rd floor
Little Rock, AR 72201
Phone: (501) 324-9260
Fax: (501) 324-9268
Email
Website

CALIFORNIA
Department of Corporations
Securities Regulation Division
1515 K Street, Suite 200
Sacramento, CA 95814
Phone: (916) 327-7585
Fax: (916) 445-7975
Website

COLORADO
Division of Securities
1560 Broadway, Suite 900
Denver, CO 80202
Phone: (303) 894-2320
Fax: (303) 861-2126
Email
Website

CONNECTICUT
Department of Banking
Division of Securities
260 Constitution Plaza
Hartford, CT 06103
Phone: (860) 240-8299
Fax: (860) 240-8295
Email
Website

DELAWARE
Department of Justice
Division of Securities
820 N. French Street, 8th floor
Wilmington, DE 19801
Phone: (302) 577-8424
Fax: (302) 577-6987
Email
Website

DISTRICT OF COLUMBIA
Securities Commission
810 First Street, NE, Suite 701
Washington, DC 20002
Phone: (202) 727-8000
Fax: (202) 535-1199
Email
Website

FLORIDA
Department of Banking
Division of Securities
101 East Gaines Street
Tallahassee, FL 32399
Phone: (850) 410-9805
Fax: (850) 410-9748
Email
Website

GEORGIA
Office of the Secretary of State
Securities Division
Two Martin Luther King, Jr. Drive
802 West Tower
Atlanta, GA 30334
Phone: (404) 656-3920
Fax: (404) 651-6451
Email
Website

HAWAII
Department of Commerce and Consumer Affairs
1010 Richards Street P.O. Box 40
Honolulu, HI 96810
Phone: 808-586-2744
Fax: 808-586-2733
Email
Website

IDAHO
Department of Finance
Securities Bureau
700 West State Street
P.O. Box 83729
Boise, ID 83720-0031
Phone: (208) 332-8004
Fax: (208) 332-8099
Email
Website

ILLINOIS
Office of the Secretary of State
Securities Department
300 West Jefferson Street, Suite 300A
Springfield, IL 62702
Phone: (217) 782-2256
Fax: (217) 524-2172
Email
Website

INDIANA
Office of the Secretary of State
Securities Division
302 West Washington, E-111
Indianapolis, IN 46204
Phone: (317) 232-6681
Fax: (317) 233-3675
Email
Website

IOWA
Insurance Division
Securities Bureau
340 E. Maple Street
Des Moines, IA 50319
Phone: (515) 281-4441
Fax: (515) 281-3059
Email
Website

KANSAS
Securities Commission
618 South Kansas Avenue
Topeka, KS 66603-3804
Phone: (785) 296-3307
Fax: (785) 296-6872
Email
Website

KENTUCKY
Department of Financial Institutions
Division of Securities
1025 Capital Center Drive, Suite 200
Frankfort, KY 40601
Phone: 502-573-3390
Fax: 502-573-8787
Email
Website

LOUISIANA
Securities Commission
Office of Financial Institutions
8660 United Plaza Blvd.
Baton Rouge, LA 70809
Phone: (225) 925-4660
Fax: (225) 925-4524
Email
Website

MAINE
Securities Division
121 State House Station
Augusta, ME 04333
Phone: (207) 624-8551
Fax: (207) 624-8590
Email
Website

MARYLAND
Office of the Attorney General
Division of Securities
200 Saint Paul Place
Baltimore, MD 21202-2020
Phone: (410) 576-6360 Fax: (410) 576-6532
Email
Website

MASSACH– USETTS
Securities Division
One Ashburton Place, Room 1701
Boston, MA 02108
Phone: (617) 727-3548
Fax: (617) 248-0177
Email
Website

MICHIGAN
Division of Securities
Office of Financial & Insurance Services
611 West Ottawa, Second Floor
Lansing, MI 48909-8201
Phone: (877) 999-6442
Fax: (517) 241-3953
Email
Website

MINNESOTA
Department of Commerce
85 East 7th Place, Suite 500
Saint Paul, MN 55101
Phone: (651) 296-4026
Fax: (651) 296-4328
Email
Website

MISSISSIPPI
Office of the Secretary of State
Business Regulation & Enforcement Division
700 North Street
Jackson, MS 39202
Phone: (601) 359-6371
Fax: (601) 359-2663
Email
Website

MISSOURI
Securities Division
Missouri State Information Center
600 West Main Street, 2nd Floor
Jefferson City, MO 65101
Phone: (573) 751-4136
Fax: (573) 526-3124
Email
Website

MONTANA
Office of the State Auditor
Securities Department
840 Helena Avenue
Helena, MT 59601
Phone: (406)444-2040
Fax: (406) 444-5558
Email
Website

NEBRASKA
Nebraska Securities Bureau
Department of Banking & Finance
1200 North St.
Lincoln, NE 68508
Phone: (402) 471-3445
Email
Website

NEVADA
Nevada Secretary of State
Securities Division
555 E. Washington Ave.
Las Vegas, NV 89101
Phone: (702) 486-2440
Fax: (702) 486-2452
Email
Website

NEW HAMPSHIRE
Bureau of Securities Regulation
107 North Main St.
Concord, NH 03301-4989
Phone: (603) 271-1463
Fax: (603) 271-7933
Email
Website

NEW JERSEY
Department of Law and Public Safety
Bureau of Securities
153 Halsey St.
Newark, NJ 07102
Phone: (973) 504-3600
Fax: (973) 504-3601
Email
Website

NEW MEXICO
Regulation and Licensing Department
Securities Division
2550 Cerrillos Road
Santa Fe, NM 87505
Phone: (505) 476-4580
Fax: (505) 984-0617
Email
Website

NEW YORK
Office of the Attorney General
Investor Protection & Securities Bureau
120 Broadway
New York, NY 10271
Phone: (212) 416-8200
Fax: (212) 416-8816
Email
Website

NORTH CAROLINA
Department of the Secretary of State
Securities Division
P.O. Box 29622
Raleigh, NC 27626-0525
Phone: (919) 733-3924
Fax: (919) 821-0818
Email
Website

NORTH DAKOTA
Securities Commission
600 East Boulevard
State Capitol, 5th Floor
Bismarck, ND 58505-0510
Phone: (701) 328-2910
Fax: (701) 255-3113
Email
Website

OHIO
Division of Securities
77 South High Street
22nd Floor
Columbus, OH 43215
Phone: (614) 644-7381
Fax: (614) 466-3316
Email
Website

OKLAHOMA
Department of Securities
1st National Center, Suite 860
120 N. Robinson
Oklahoma City, OK 73102
Phone: (405) 280-7700
Fax: (405) 280-7742
Email
Website

OREGON
Department of Consumer & Business Services
Div. of Finance & Corp. Securities
350 Winter Street, NE
Salem, OR 97301-3881
Phone: (503) 378-4387
Fax: (503) 947-7862
Email
Website

PENNSYLVANIA
Securities Commission
Eastgate Office Building
1010 North 7th Street, 2nd Floor
Harrisburg, PA 17102-1410
Phone: (717) 787-8061
Fax: (717) 783-5122
Email
Website

RHODE ISLAND
Department of Business Regulation
233 Richmond Street
Suite 232
Providence, RI 02903-4232
Phone: (401) 222-3048
Fax: (401) 222-5629
Email
Website

SOUTH CAROLINA
Office of the Attorney General
Securities Division
1000 Assembly Street
Columbia, SC 29201
Phone: (803) 734-4731
Fax: (803) 734-0032
Email
Website

SOUTH DAKOTA
Dept. of Revenue and Regulation
Division of Securities
445 E Capitol Avenue
Pierre, SD 57501-2000
Phone: (605) 773-4823
Fax: (605) 773-5953
Email
Website

TENNESSEE
Department of Commerce & Insurance
Securities Division
500 James Robertson Parkway
Nashville, TN 37243-0575
Phone: (615) 741-2947
Fax: (615) 532-8375
Email
Website

TEXAS
State Securities Board
208 East 10th Street
Austin, TX 78701
Phone: (512) 305-8300
Fax: (512) 305-8310
Email
Website

UTAH
Department of Commerce
Division of Securities
160 East 300 South
Salt Lake City, UT 84111
Phone: (801) 530-6600
Fax: (801) 530-6980
Email
Website

VERMONT
Department of Banking, Insurance, Securities & Health Care
89 Main Street, Drawer 20
Montpelier, VT 05620-3101
Phone: (802) 828-3420
Fax: (802) 828-2896
Email
Website

VIRGINIA
State Corporation Commission
Division of Securities & Retail Franchising
1300 East Main Street
Richmond, VA 23219
Phone: (804) 371-9051
Fax: (804) 371-9911
Email
Website

WASHINGTON
Department of Financial Institutions
Securities Division
150 Israel Road, SW
Tumwater, WA 98501
Phone: (360) 902-8760
Fax: (360) 902-0524
Email
Website

WEST VIRGINIA
Office of the State Auditor
Securities Division
Building 1, Room W-100
Charleston, WV 25305-0230
Phone: (304) 558-2257
Fax: (304) 558-4211
Email
Website

WISCONSIN
Department of Financial Institutions
Division of Securities
345 W. Washington Avenue
Madison, WI 53703
Phone: (608) 266-1064
Fax: (608) 264-7979
Email
Website

WYOMING
Securities Division
Wyoming Secretary of State’s Office
200 West 24th Street
Cheyenne, WY 82002-0020
Phone: (307) 777-7370
Fax: (307) 777-7640
compliance@state.wy.us
Website