Frequently Asked Questions (FAQs)
What happens if I offer or sell an unregistered security?
How do I know if what I am buying or selling is a security?
When can I offer a security without registering the transaction with the Securities Division?
What is the difference between an investment adviser, securities salesman and a financial planner?
How do I find an attorney to answer my questions about securities?
Where can I get assistance with dealing with a corporation in which I own stock?
How do I find out if old stock certificates are worth anything?
How can I find out about a case?
Securities Division Contact Information
The information provided on this web site is not comprehensive, is not offered as legal advice, and is not a substitute for competent legal counsel. The Securities Division provides this information to give you an overview of the topics discussed. You should not rely on the accuracy of this information, but should carefully review all applicable statutes and regulations with the assistance of legal counsel.