Securities Division

Submission of Form D Notice Filings

Notice: Ralph Savoie Sentenced  -  Click Here For Details

Crowdfunding Bill Signed Into Law

To Report Financial Exploitation Click Here


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This division registers securities offerings for sale to the public and licenses broker-dealers, agents, and investment advisers.  Working in close cooperation with the Financial Industry Regulatory Authority and the United States Securities and Exchange Commission, this section also investigates and originates enforcement actions regarding unfair practices, complaints, and violations of law regarding a variety of securities activities.

Uniform Service Member Exemption Form

News and Information:

Act 47 of the 2017 Regular Session Excludes Certain Investment Adviser Representatives From Examination/Certification Requirements
Effective June 4, 2017

Changes to SEC Regulation D - FAQs

"Dishonest or Unethical Practices Rule" for Broker-Dealers and Investment Advisers

Updated April 25, 2019