Regulatory Agencies
- Securities and Exchange Commission (SEC)
- The Financial Industry Regulatory Authority (FINRA)
- The North American Securities Administrators Association (NASAA)
- Listing of State Regulatory Agencies
- U.S. Commodity Futures Trading Commission
- Chicago Board Options Exchange (CBOE)
- Office of Foreign Assets Control
- Municipal Securities Rulemaking Board’s (MSRB)
Registration
Federal Securities Laws
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”.
CALIFORNIA
Department of Corporations
Securities Regulation Division
1515 K Street, Suite 200
Sacramento, CA 95814
Phone: (916) 327-7585
Fax: (916) 445-7975
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
[email protected]
Website