About Our Division:
The Securities Division strives to ensure the integrity of the securities marketplace through investigative actions as well as the registration and oversight of securities, securities dealers and salespersons, and investment advisers and their representatives; to enhance legitimate capital formation; and to minimize the burden and expense of regulatory compliance by legitimate business.
The Division reviews prospective offerings of securities to ascertain that full and fair disclosure is made to potential securities investors and that the terms of offerings are not inherently fraudulent.
Certain securities dealers, salespersons, investment advisers, and investment adviser representatives are required to register with the Division. The Division reviews these applications and monitors the conduct of investment advisers, dealers, and salespersons; investigates possible violations; and, when the evidence warrants, initiates administrative, civil, or criminal enforcement actions.