Securities Division


Private Placement Offerings Information

Submission of UIT Notice Filings

Submission of Form D Notice Filings

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.


News and Information:

Celsius Network Files Chapter 11 Bankruptcy
July 13, 2022

Voyager Digital Files Chapter 11 Bankruptcy
July 6, 2022

Daniel Battaglia Sentenced for Investment Fraud Scheme
October 21, 2020

Private Fund Advisers Order
September 25, 2020

Notice: Ralph Savoie Sentenced  -  Click Here For Details

 

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 18, 2022