Web Directory

» Alaska Banking, Securities, and Corporations Division
   Part of the Alaska Department of Community and Economic Development. Maintains a stable financial network for financial services, and protects investors shareholders.
   http://www.dced.state.ak.us/bsc/

» Arizona Corporation Commission (Securities Division)
   Includes advice on risk in investing, and suggestions as to how to ascertain the value (if any) of old securities.
   http://www.azcc.gov/divisions/securities/

» Arizona Department of Financial Institutions
   Regulates and supervises the financial institutions and enterprises of Arizona.
   http://azdfi.gov/

» Arkansas State Bank Department
   Charged with regulating the safety and soundness of state financial institutions for which it serves as primary regulator, in order to assure public confidence in these institutions.
   http://www.state.ar.us/bank/banking1.html

» California - Department of Financial Institutions
   Responsible for regulating the safety and soundness of California's state-chartered financial institutions.
   http://www.dfi.ca.gov

» California Department of Corporations
   Licenses and regulates securities brokers and dealers, investment advisers and financial planners, some fiduciaries and lenders, and the offer and sale of securities, franchises and off-exchange commodities.
   http://www.corp.ca.gov/

» Colorado Department of Regulatory Agencies (Division of Banking)
   Responsible for the regulation of state chartered commercial banks, trust companies, industrial banks, money order companies, money transmitters, and foreign capital depositories.
   http://www.dora.state.co.us/banking/

» Colorado Department of Regulatory Agencies (Division of Securities)
   The mission of the Division is to protect investors and maintain public confidence in the securities markets while avoiding unreasonable burdens on participants in the capital markets.
   http://www.dora.state.co.us/securities/

» Conference of State Bank Supervisors
   Annual conference promoting state-chartered banking.
   http://www.csbs.org/

» Connecticut Department of Banking
   Regulates and assists individuals and entities under its jurisdiction and serves, protects and educates the public as users of financial services.
   http://www.ct.gov/dob/site/

» Delaware - Office of the State Bank Commissioner
   Regulates State-chartered banks and trust companies for safety and soundness and non-depository financial services licensees for compliance with applicable laws.
   http://banking.delaware.gov/

» Delaware Securities Division
   Unit of the Delaware Department of Justice and is charged by law with the regulation of the securities business in Delaware.
   http://attorneygeneral.delaware.gov/consumers/investmented/

» District of Columbia Department of Insurance and Securities Regulation
   Regulates the insurance and securities industries operating in and from the District of Columbia.
   http://disr.dc.gov/

» Hawaii - Division of Financial Institutions
   Part of the Department of Commerce and Consumer Affairs, it regulates and supervises all state-chartered and state-licensed financial institutions and escrow depositories.
   http://hawaii.gov/dcca/areas/dfi/

» Idaho - Department of Finance
   Regulates banks, savings and loan associations, business and industrial development companies, trust companies, credit unions, lenders, collectors, companies that offer credit, mortgage brokers and bankers, stock brokers, investment advisers, money transm
   http://finance.idaho.gov/

» Illinois Office of Banks and Real Estate
   Oversees state-chartered banks and thrifts, corporate fiduciaries, real estate brokers and agents, appraisers, timeshare/land sales, mortgage bankers and brokers, leasing agents, check printers, pawnbrokers, and auctioneers.
   http://www.obre.state.il.us/

» Indiana Department of Financial Institutions
   Includes a correspondence on the legality of the "Automatic Overdraft Protection Program".
   http://www.in.gov/dfi/

» Indiana Securities Division
   Includes detailed description of the operations of pedlers of duff micro stocks, and how to avoid them.
   http://www.in.gov/sos/securities/

» Iowa Division of Banking
   Strives to maintain a regulatory environment that assures the citizens of Iowa are provided banking and other financial services that are safe, sound, profitable, and contribute to the economic well-being of the state and its communities.
   http://www.idob.state.ia.us/

» Kansas - Office of the Kansas Securities Commissioner
   The first state to regulate the securities industry (in 1911, preventing the sale of securities which had nothing behind them other than the "blue sky"). Now regulates and monitors the offering of securities and financial services within Kansas.
   http://www.securities.state.ks.us/

» Kansas - Office of the State Bank Commissioner
   Regulates all state chartered banks and trust companies, savings and loan companies, mortgage businesses, and money transmitters, to ensure the safety and soundness of state chartered financial institutions.
   http://www.osbckansas.org/

» Kentucky - Department of Financial Institutions
   Department organized into three: Division of Financial Institutions; Division of Securities; and Division of Administrative Services.
   http://www.kfi.ky.gov/

» Louisiana - Office of Financial Institutions
   Divided into three major divisions based on general types of institutions regulated: the Depository Institutions Division; the Non-Depository Services Division; and the Securities Division.
   http://www.ofi.state.la.us/

» Maine State Office of Securities
   Protects investors by investigating and prosecuting violations of the securities laws; licensing broker-dealers, sales representatives, and investment advisers; and reviewing registration statements and exemption filings for securities issuers that are se
   http://www.state.me.us/pfr/sec/sec_index.htm

» Maryland Division of Financial Regulation
   Part of the Department of Labor, Licensing and Regulation.
   http://www.dllr.state.md.us/finance/

» Massachusetts Division of Banks
   Maintains a safe and sound, competitive banking and financial services environment throughout the Commonwealth. Housed under Consumer Affairs and Business Regulation.
   http://www.mass.gov/?pageID=ocaagencylanding&L=4&L0=Home&L1=Government&L2=Our+Agencies+and+Divisions&L3=Division+of+Banks&sid=Eoca

» Massachusetts Securities Division
   Divided into sub-divisions of: Enforcement; Corporate Finance; and Licensing and Registration.
   http://www.sec.state.ma.us/sct/

» Michigan Department of Labor and Economic Growth
   State organization that includes regulatory authorities for consumer affairs and other functions.
   http://www.michigan.gov/dleg

» Minnesota Department of Commerce
   Responsibilities include insuring the financial soundness of financial and insurance companies and preventing unfair business practices.
   http://www.state.mn.us/portal/mn/jsp/home.do?agency=Commerce

» Mississippi - Department of Banking and Consumer Finance
   Ensures the safety and soundness of the financial institutions chartered under state authority and monitors the institutions' compliance with governing laws and regulations.
   http://www.dbcf.state.ms.us/

» Missouri Division of Finance
   Regulates all state chartered banks and trust companies, savings banks, savings and loan companies and various providers of consumer credit.
   http://www.missouri-finance.org/

» Montana - State Auditor and Commissioner of Insurance and Securities
   With sections for consumers, seniors, insurance, securities, and the land board.
   http://sao.mt.gov/

» Nebraska Department of Banking and Finance
   Comprised of two divisions, Financial Institutions, and Bureau of Securities.
   http://www.ndbf.ne.gov/

» Nevada Financial Institutions Division
   Enforces regulations and licenses various financial activities, including depository, lending, collection and money transmission activities.
   http://fid.state.nv.us/

» New Hampshire Banking Department
   Protects the public interest by securing the safety and soundness of banking and by promoting fair competition.
   http://www.nh.gov/banking/

» New Jersey Department of Banking and Insurance
   Regulator of the banking, insurance and real estate industries in New Jersey.
   http://www.state.nj.us/dobi/

» New Mexico - Regulation and Licensing Department
   Includes the Financial Institutions Division (which regulates banks and such-like entities), and the Securities Division (securities offerings and practices).
   http://www.rld.state.nm.us/

» New Mexico Public Regulation Commission
   Regulates public utilities, telecommunications companies, and insurance companies, and assures pipeline and fire safety and with the registration of corporations.
   http://www.nmprc.state.nm.us/

» New York State Banking Department
   Primary regulator for state-licensed and state-chartered financial entities and other financial institutions operating in New York.
   http://www.banking.state.ny.us/

» North Dakota - Department of Financial Institutions
   Regulates state banks, trust companies, building and loan associations, mutual investment corporations, mutual savings corporations, banking institutions, and other financial corporations.
   http://www.nd.gov/dfi/

» North Dakota Office of the Securities Commissioner
   Mission is to strengthen the integrity of the marketplace for securities, franchises and commodities in North Dakota.
   http://www.ndsecurities.com

» Ohio Department of Commerce
   With a division for Financial Institutions (including sections for Banks, Consumer Finance, Credit Unions, and Savings), and a division for Securities.
   http://www.com.ohio.gov

» Oklahoma Department of Securities
   Oversees registration of securities, business opportunities, takeovers, offerings of subdivided land, broker-dealers, and investment advisers.
   http://www.securities.ok.gov/

» Oklahoma State Banking Department
   Regulates state-chartered banks, credit unions, savings and loans, trust companies, money order companies, and cemeteries.
   http://www.state.ok.us/~osbd/

» Oregon Division of Finance and Corporate Securities
   Part of the Department of Consumer and Business Services.
   http://www.cbs.state.or.us/external/dfcs/

» Pennsylvania Department of Banking
   Ensure the safety and soundness of state-chartered deposit-taking institutions.
   http://www.banking.state.pa.us/

» Pennsylvania Securities Commission
   Administers the Pennsylvania Securities Act of 1972. Investor information and Recent Enforcement Actions available.
   http://www.psc.state.pa.us/

» Rhode Island Department of Business Regulation
   Includes the Board of Accountancy, the Division of Banking Regulation, the Division of Insurance Regulation, and the Division of Securities Regulation.
   http://www.dbr.state.ri.us/

» South Dakota - Division of Banking
   Part of the Department of Commerce and Regulation.
   http://www.state.sd.us/drr2/reg/bank/BANK-HOM.htm

» South Dakota - Division of Securities
   Sets rules and procedures to ensure that investments sold in South Dakota meet standards of full disclosure. Standards apply to three types of investments: securities products, franchises and business opportunities.
   http://www.state.sd.us/drr2/reg/securities/

» Tennessee Department of Commerce and Insurance
   Includes the Securities Division which licenses brokers, dealers and investigates fraud; and the Insurance Division, which regulates over 1,600 insurance companies and 60,000 agents.
   http://www.state.tn.us/commerce/

» Tennessee Department of Financial Institutions
   Has legal responsibility for assuring the system of state-chartered banks, credit unions, and other financial institutions runs on a safe and sound basis.
   http://www.tennessee.gov/tdfi/

» Texas - Office of Consumer Credit Commissioner
   Regulates the credit industry and educates consumers and creditors.
   http://www.occc.state.tx.us/

» Texas Department of Banking
   Charters, licenses, and regulates financial providers in the state of Texas to ensure that Texas has a safe and sound financial services system.
   http://www.banking.state.tx.us/

» Texas Finance Commission
   Responsible for overseeing and coordinating the Texas Department of Banking, the Savings and Loan Department, and the Office of the Consumer Credit Commissioner.
   http://www.fc.state.tx.us/

» Texas State Securities Board
   Divided into the Enforcement Division, the Registration Division, the Inspections and Compliance Division, the General Counsel Division, and the Staff Services Division.
   http://www.ssb.state.tx.us/

» Utah Department of Financial Institutions
   Also has jurisdiction over residential mortgage and consumer lending.
   http://www.dfi.state.ut.us/

» Utah Division of Securities
   The division, part of the Department of Commerce, registers securities; reviews exemptions; issues no-action letters and interpretative opinions; licenses broker-dealers and their agents, investment advisers and their representatives, issuer agents, and c
   http://www.securities.state.ut.us/

» Vermont Department of Banking, Insurance, Securities and Health Care Administration
   Includes the Insurance Division, the Securities Division and the Banking Division.
   http://www.bishca.state.vt.us/

» Virginia - State Corporation Commission
   Includes the Bureau of Financial Institutions (for state-chartered banks), Bureau of Insurance, and Division of Securities and Retail Franchising.
   http://www.scc.virginia.gov/

» Washington State Department of Financial Institutions
   Includes the Banks Division, Consumer Services Division, Credit Unions Division and the Securities Division.
   http://www.dfi.wa.gov/

» West Virginia Division of Banking
   Part of the Department of Commerce, Labor and Environmental Resources, it oversees the state's financial services industry to foster and promote a sound and dynamic climate.
   http://www.wvdob.org/

» Wisconsin Department of Financial Institutions
   Dedicated to protecting Wisconsin citizens through financial regulation and education, ensuring the safety and soundness of Wisconsin financial institutions, protecting the investing public, and enhancing the viability and accessibility of the state's bus
   http://www.wdfi.org/

» Wyoming Department of Audit, Division of Banking
   Promotes a progressive banking environment, ensures fair and lawful consumer related financial transactions, provides the public with convenient, safe and competitive banking and allows for economic development.
   http://audit.state.wy.us/banking/