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:

Securities Staff Receive Excellence in Pursuit of Justice Awards
Two employees of the Securities Division received special recognition from the United States Attorney's Office for the Middle District of Louisiana for their work ethic, determination and professionalism.  Len Riviere and Frank Panepinto were honored for their outstanding contributions during the Excellence in Pursuit of Justice Awards held on May 17, 2019.  The award acknowledged their assistance on behalf of the Louisiana Office of Financial Institutions in successfully prosecuting fraudsters that exploited Louisiana citizens.  For more information Click Here.

 

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 July 11, 2019