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Guide to State Securities Administrators

Maintained by Mark J. Astarita, Esq.
Last Updated November 9, 2011

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.


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) 465-2549
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 Corporations
Securities Regulation Division
1515 K Street, Suite 200
Sacramento, CA 95814
Phone/Fax: (916) 445-7205 // (916) 445-7975
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) 535-1199
Email
Website

FLORIDA
Department of Banking
Division of Securities
200 East Gaines Street
Tallahassee FL 32399-3071
Phone/Fax: (850) 410-9800 // (850) 410-9548
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 96810
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. 2nd Floor
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 48909-8201
Phone/Fax: (877)999-6442 // (517)241-3157
Email
Website

MINNESOTA
Department of Commerce
85 East 7th Place, Suite 500
Saint Paul, MN 55101
Phone/Fax: (651) 296-4026 // (651) 297-1959
Email
Website

MISSISSIPPI
Office of the Secretary of State
Business Regulation & Enforcement Division
700 North Street
Jackson, MS 39202
Phone/Fax: 601-359-1048 // 601-359-1499 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
1230 'O' Street, Suite 400
Lincoln, NE 68508
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
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
P.O. Box 29622
Raleigh, NC 27626-0525
Phone/Fax: (919) 733-3924 //
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 //
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
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 02903-4232
Phone/Fax: (401) 462-9500 // (401) 462-9532
Email
Website

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

SOUTH DAKOTA
Dept. of Revenue and Regulation
Division of Securities
700 Governors Drive
Pierre, SD 57501-2291
Phone/Fax: (605) 773-3101 // (605) 773-6184
Email
Website

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

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

UTAH
Department of Commerce
Division of Securities
160 East 300 South
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 //
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) 558-2261 // (304) 558-5200
Email
Website

WISCONSIN
Department of Financial Institutions
Division of Securities
345 W. Washington Avenue
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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Copyright 2010. VGIS Communications LLC. All Rights Reserved. VGIS Communications, LLC - 41 Watchung Plaza, Suite 249, Montclair, New Jersey 07042 - 973-509-7333. 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 adviser before acting upon the information contained in this article. For additional information, contact Mark J. Astarita, Esq., a partner in the law firm of Beam & Astarita, LLC, who represents clients in a wide variety of finance related matters. Mr. Astarita can be contacted by email at astarita@beamlaw.com.

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