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Guide to State Securities Administrators

Maintained by Mark J. Astarita, Esq.
Last Updated September 16, 2014

BLUE SKY ATTORNEYS - The state securities laws are a tangle of rules and regulations that differ from state to state, and impact public offerings of securities, private placements, investment advisor registrations and broker-dealer regulations. Experienced securities blue sky counsel can assist you with understanding those rules, and help to insure compliance.

Introduction

In addition to the rules and regulations of the Securities and Exchange Commission, each State has its own rules and regulators. Here is a listing of the various state administrators, with links to their home pages, email address and to the text of the State's Blue Sky laws, where available.

For more information on the operation of the state securities laws, see Introduction to the Blue Sky Laws. For an overview of the securities laws generally, see Introduction to the Securities Laws.


State Securities Law Commission Contact Information

ALABAMA
Alabama Securities Commission
401 Adams Ave Suite 280 
Montgomery, Alabama 36104-4353
Phone/Fax: (334) 242-2984 // (334) 242-0240 
Email 
Website


ALASKA
Department of Commerce
Division of Banking, Securities & Corporations
150 Third Street, Suite 217 
Juneau, AK 99811-0807
Phone/Fax: (907) 465-2521 // (907) 465-1230
Email 
Website

ARIZONA
Corporation Commission
Securities Division
1300 West Washington, Third Floor 
Phoenix, Arizona 85007
Phone/Fax: (602) 542-4242 // (602) 594-7470 
Email 
Website

ARKANSAS
Arkansas Securities Department
201 East Markham Suite 300 
Little Rock, AR 72201
Phone/Fax: (501) 324-9260 // (501) 324-9268 
Email 
Website

CALIFORNIA
Department of Business Oversight
Securities Regulation Division
1515 K Street, Suite 200 
Sacramento, CA 95814
Phone/Fax: (916) 327-7585 // (916) 322-1559
Email 
Website

COLORADO
Division of Securities
1560 Broadway, Suite 900 
Denver, CO 80202
Phone/Fax: (303) 894-2320 // (303) 861-2126 
Email 
Website

CONNECTICUT
Department of Banking
Division of Securities
260 Constitution Plaza 
Hartford CT 06103
Phone/Fax: 860-240-8230 // (860) 240-8178 
Email 
Website

DELAWARE
Department of Justice
Division of Securities
820 N. French Street, 5th floor 
Wilmington DE 19801
Phone/Fax: (302) 577-8424 // (302) 577-6987 
Email 
Website

DISTRICT OF COLUMBIA
Securities Commission
810 First Street NE, Suite 701 
Washington, DC 20001
Phone/Fax: (202) 727-8000 // (202) 535-1196 
Email 
Website

FLORIDA
Department of Banking
Division of Securities
101 East Gaines Street, Suite 118 
Tallahassee FL 32399-0379
Phone/Fax: (850) 410-9889 // (850) 410-9663 
Email 
Website

GEORGIA
Office of the Secretary of State
Securities Division
237 Coliseum Drive 
Macon, GA 31217-3858
Phone/Fax: (478) 207-2440// (478)-314-5805 
Email 
Website

HAWAII
Department of Commerce and Consumer Affairs
King Kalakaua Building 
335 Merchant Street 
Honolulu Hawaii 96813
Phone/Fax: 808-586-2744 // 808-586-3977 
Email 
Website

IDAHO
Department of Finance
Securities Bureau
800 Park Boulevard Suite 200 
Boise, Idaho 83712 
Phone/Fax: (208) 332-8004 // (208) 332-8099 
Email 
Website

ILLINOIS
Office of the Secretary of State
Securities Department
300 West Jefferson Street, Suite 300A 
Springfield, IL 62702
Phone/Fax: (217) 782-2256 // (217) 782-8876 
Email 
Website

INDIANA
Office of the Secretary of State
Securities Division
302 West Washington, E-111 
Indianapolis, IN 46204
Phone/Fax: (317) 232-6681 // 317-233-3675 
Email 
Website

IOWA
Insurance Division
Securities Bureau
340 E. Maple Street 
Des Moines IA 50319
Phone/Fax: 515-281-5705 // (515) 281-3059 
Email 
Website

KANSAS
Securities Commission
109 SW 9th St., Ste. 600 
Topeka KS 66612-1215
Phone/Fax: (785) 296-3307 // (785) 296-6872 
Email 
Website

KENTUCKY 
Department of Financial Institutions
Division of Securities
1025 Capital Center Drive, Suite 200 
Frankfort, KY 40601
Phone/Fax: 502-573-3390 // 502-573-8787 
Email 
Website

LOUISIANA
Securities Commission
Office of Financial Institutions
8660 United Plaza Blvd. Suite 200
Baton Rouge, LA 70809
Phone/Fax: (225) 925-4660 // (225) 925-4524 
Email 
Website

MAINE
Securities Division
121 State House Station 
Augusta, Maine 04333
Phone/Fax: (207) 624-8551 // (207) 624-8590 
Email 
Website

MARYLAND
Office of the Attorney General
Division of Securities
200 Saint Paul Place 
Baltimore, MD 21202-2020
Phone/Fax: (410) 576-6360 // (410) 576-6532 
Email 
Website

MASSACHUSETTS
Securities Division
One Ashburton Place, 17th Floor 
Boston, MA 02108
Phone/Fax: (617) 727-3548 // (617) 248-0177 
Email 
Website

MICHIGAN
Division of Securities
Office of Financial & Insurance Services
611 West Ottawa, Third Floor 
Lansing, MI 48933-1070
Phone/Fax: (877)999-6442 // (517)241-3157 
Email 
Website

MINNESOTA
Department of Commerce
85 7th Place East, Suite 500 
Saint Paul, MN 55101
Phone/Fax: (651) 539-1500 // (651) 539-1547
Email 
Website

MISSISSIPPI
Office of the Secretary of State
Business Regulation & Enforcement Division
125 S. Congress Street 
Jackson, MS 39201
Phone/Fax: 601-359-9055 // 601-576-2546
Email 
Website

MISSOURI
Securities Division
Missouri State Information Center
600 West Main Street 
Jefferson City, MO 65101
Phone/Fax: (573) 751-4136 // (573) 526-3124 
Email 
Website

MONTANA
Office of the State Auditor
Securities Department
840 Helena Avenue 
Helena, MT 59601
Phone/Fax: (406)444-2040 // (406) 444-5558 
Email 
Website

NEBRASKA
Nebraska Securities Bureau
Department of Banking & Finance
1526 K Street, Suite 300 
Lincoln, NE 68508-2732
Phone/Fax: (402) 471-3445 // 
Email 
Website

NEVADA
Nevada Secretary of State
Securities Divison
101 N Carson Street Suite 3 
Carson City, NV 89701
Phone/Fax: (775)-684-5708 // (775)-684-5725 
Email 
Website

NEW HAMPSHIRE
Bureau of Securities Regulation
107 North Main St. #204 
Concord, NH 03301-4989
Phone/Fax: (603) 271-1463 // (603) 271-7933 
Email 
Website

NEW JERSEY
Department of Law and Public Safety
Bureau of Securities
153 Halsey St. 6th Floor 
Newark, NJ 07102
Phone/Fax: (973) 504-3600 // (973) 504-3601 
Email 
Website

NEW MEXICO
Regulation and Licensing Department
Securities Divison
2550 Cerrillos Road, 3rd Floor
Santa Fe, NM 87505
Phone/Fax: (505) 476-4580 // (505) 984-0617 
Email 
Website

NEW YORK
Office of the Attorney General
Investor Protection & Securities Bureau
120 Broadway 23rd Floor
New York, NY 10271
Phone/Fax: (212) 416-8222 // (212) 416-8816 
Email 
Website

North Carolina
Department of the Secretary of State
Securities Division
4701 Atlantic Avenue , Suite 116
Raleigh, NC 27626-0622
Phone/Fax: (919) 733-3924 // (919) 807-2183
Email 
Website

NORTH DAKOTA
Securities Commission
600 East Boulevard
State Capitol, 5th Floor 
Bismarck, ND 58505-0510
Phone/Fax: (701) 328-2910 // (701) 328-2946 
Email 
Website

OHIO
Division of Securities
77 South High Street 22nd Floor
Columbus, OH 43215
Phone/Fax: (614) 644-7381 // (614) 466-3316
Email 
Website

OKLAHOMA
Department of Securities
1st National Center, Suite 860
120 N. Robinson 
Oklahoma City, OK 73102
Phone/Fax: (405) 280-7700 // (405) 280-7742 
Email 
Website

OREGON
Department of Consumer & Business Services
Div. of Finance & Corp. Securities
350 Winter Street, NE, Rm. 410
Salem, OR 97301-3881
Phone/Fax: (503) 378-4387 // (503) 947-7862 
Email 
Website

PENNSYLVANIA
Securities Commission
Eastgate Office Building
1010 North 7th Street, 2nd Floor 
Harrisburg, PA 17102-1410
Phone/Fax: (717) 787-8061 // (717) 783-5122 
Email 
Website

RHODE ISLAND
Department of Business Regulation
1511 Pontiac Avenue 
Carnston, RI 02920
Phone/Fax: (401) 462-9500 // (401) 462-9532 
Email 
Website

SOUTH CAROLINA
Office of the Attorney General
Securities Division
1000 Assembly Street, Rm. 519
Columbia, SC 29201
Phone/Fax: (803) 734-4731 // (803) 734-0032 
Email 
Website

SOUTH DAKOTA
Dept. of Revenue and Regulation
Division of Securities
445 East Capitol Avenue 
Pierre, SD 57501-3185
Phone/Fax: (605) 773-4823 // (605) 773-5953 
Email 
Website

TENNESSEE
Department of Commerce & Insurance
Securities Division
500 James Robertson Parkway, Suite 660 
Nashville, TN 37243-0575
Phone/Fax: (615) 741-2947 // (615) 532-8375 
Email 
Website

TEXAS
State Securities Board
208 East 10th Street, 5th Floor
Austin, TX 78701
Phone/Fax: (512) 305-8300 // (512) 305-8310
Email 
Website

UTAH
Department of Commerce
Division of Securities
160 East 300 South, 2nd Floor
Salt Lake City, UT 84111
Phone/Fax: (801) 530-6600 // (801) 530-6980 
Email 
Website

VERMONT
Department of Banking, Insurance, Securities & Health Care
89 Main Street 
Montpelier, VT 05620-3101
Phone/Fax: (802) 828-3301 // (802) 828-2896 
Email 
Website

VIRGINIA
State Corporation Commission
Division of Securities & Retail Franchising
1300 East Main Street 
Richmond, VA 23219
Phone/Fax: (804) 371-9187 // 
Email 
Website

WASHINGTON
Department of Financial Institutions
Securities Division
150 Israel Road, SW 
Tumwater, WA 98501
Phone/Fax: (360) 902-8760 // (360) 902-0524
Email 
Website

WEST VIRGINIA
Office of the State Auditor
Securities Division
1900 Kanawha Boulevard East 
Building 1, Room W-100 
Charleston, WV 25305-0230
Phone/Fax: (304) 558-2251 // (304) 558-4211 
Email 
Website

WISCONSIN
Department of Financial Institutions
Division of Securities
201 W. Washington Avenue, Suite 500
Madison, WI 53703
Phone/Fax: (608) 266-1064 // (608) 264-7979 
Email 
Website

WYOMING
Securities Division
Wyoming Secretary of State's Office
200 West 24th Street 
Cheyenne, WY 82002-0020
Phone/Fax: (307) 777-7370 // (307) 777-7640 
Email 
Website

 

 


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Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial advisor before acting upon the information contained in this article.SECLaw.com was created by and is sponsored by Mark J. Astarita, Esq., a securities attorney and partner in the law firm of Sallah Astarita & Cox, LLC, who represents all participants in the financial markets. Mr. Astarita can be contacted by email at mja@sallahlaw.com.

Copyright 2014. All Rights Reserved.

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