Securities

Our Offices will be closed on: Monday, May 28th, 2012

The Department of Financial Institutions will be closed on Monday, May 28th, 2012.

Although the Agency will be closed to the public, Internet Web Services will still be available for individuals who are accessing or filing documents over the Internet. Any online document received on a day our office is closed for a holiday or weekend will be effective on the day it is received provided the filing meets the statutory requirements. There will be no mail delivery to the Department on holidays or weekends. There also will be no staff to accept courier deliveries.

To see future days that the Agency will be closed, click 2012 Closure Dates. (PDF: 13 KB / 1 page)

The Division of Securities registers and monitors the activities of broker-dealers, securities agents, investment advisers, and investment adviser representatives. It also conducts field audits and investigates complaints and when violations are detected, it initiates the appropriate administrative, injunctive, or criminal action. There are 4 groups within the division; Registration of Professionals, Franchising, Enforcement and Securities Registration and Exemption.