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Texas Department of Banking - http://www.banking.state.tx.us/
Charters, licenses, and regulates financial providers in the state of Texas to ensure that Texas has a safe and sound financial services system. |
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Virginia - State Corporation Commission - http://www.scc.virginia.gov/
Includes the Bureau of Financial Institutions (for state-chartered banks), Bureau of Insurance, and Division of Securities and Retail Franchising. |
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Vermont Department of Banking, Insurance, Securities and Health Care Administration - http://www.bishca.state.vt.us/
Includes the Insurance Division, the Securities Division and the Banking Division. |
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Washington State Department of Financial Institutions - http://www.dfi.wa.gov/
Includes the Banks Division, Consumer Services Division, Credit Unions Division and the Securities Division. |
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Indiana Securities Division - http://www.in.gov/sos/securities/
Includes detailed description of the operations of pedlers of duff micro stocks, and how to avoid them. |
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Wisconsin Department of Financial Institutions - http://www.wdfi.org/
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 business record-keeping system. |
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Connecticut Department of Banking - http://www.ct.gov/dob/site/
Regulates and assists individuals and entities under its jurisdiction and serves, protects and educates the public as users of financial services. |
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Pennsylvania Securities Commission - http://www.psc.state.pa.us/
Administers the Pennsylvania Securities Act of 1972. Investor information and Recent Enforcement Actions available. |
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District of Columbia Department of Insurance and Securities Regulation - http://disr.dc.gov/
Regulates the insurance and securities industries operating in and from the District of Columbia. |
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Mississippi - Department of Banking and Consumer Finance - http://www.dbcf.state.ms.us/
Ensures the safety and soundness of the financial institutions chartered under state authority and monitors the institutions' compliance with governing laws and regulations. |
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Nebraska Department of Banking and Finance - http://www.ndbf.ne.gov/
Comprised of two divisions, Financial Institutions, and Bureau of Securities. |
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Louisiana - Office of Financial Institutions - http://www.ofi.state.la.us/
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. |
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Maryland Division of Financial Regulation - http://www.dllr.state.md.us/finance/
Part of the Department of Labor, Licensing and Regulation. |
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Iowa Division of Banking - http://www.idob.state.ia.us/
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. |
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Arizona Department of Financial Institutions - http://www.azdfi.gov/
Regulates and supervises the financial institutions and enterprises of Arizona. |
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Idaho - Department of Finance - http://finance.idaho.gov/
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 transmitters, cemeteries and issuers of securities. |
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North Dakota Office of the Securities Commissioner - http://www.ndsecurities.com/
Mission is to strengthen the integrity of the marketplace for securities, franchises and commodities in North Dakota. |
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Kentucky - Department of Financial Institutions - http://www.kfi.ky.gov/
Department organized into three: Division of Financial Institutions; Division of Securities; and Division of Administrative Services. |
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Oklahoma Department of Securities - http://www.securities.ok.gov/
Oversees registration of securities, business opportunities, takeovers, offerings of subdivided land, broker-dealers, and investment advisers. |
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Oregon Division of Finance and Corporate Securities - http://www.cbs.state.or.us/external/dfcs/
Part of the Department of Consumer and Business Services. |
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Utah Department of Financial Institutions - http://www.dfi.state.ut.us/
Also has jurisdiction over residential mortgage and consumer lending. |
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New Jersey Department of Banking and Insurance - http://www.state.nj.us/dobi/
Regulator of the banking, insurance and real estate industries in New Jersey. |
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Rhode Island Department of Business Regulation - http://www.dbr.state.ri.us/
Includes the Board of Accountancy, the Division of Banking Regulation, the Division of Insurance Regulation, and the Division of Securities Regulation. |
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Kansas - Office of the State Bank Commissioner - http://www.osbckansas.org/
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. |
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Missouri Division of Finance - http://www.missouri-finance.org/
Regulates all state chartered banks and trust companies, savings banks, savings and loan companies and various providers of consumer credit. |
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South Dakota - Division of Banking - http://www.state.sd.us/drr2/reg/bank/BANK-HOM.htm
Part of the Department of Commerce and Regulation. |
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Delaware - Office of the State Bank Commissioner - http://banking.delaware.gov/
Regulates State-chartered banks and trust companies for safety and soundness and non-depository financial services licensees for compliance with applicable laws. |
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Indiana Department of Financial Institutions - http://www.in.gov/dfi/
Includes a correspondence on the legality of the "Automatic Overdraft Protection Program". |
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Utah Division of Securities - http://www.securities.state.ut.us/
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 certified dealers; and by provides investor education opportunities. |
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North Dakota - Department of Financial Institutions - http://www.nd.gov/dfi/
Regulates state banks, trust companies, building and loan associations, mutual investment corporations, mutual savings corporations, banking institutions, and other financial corporations. |
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New Hampshire Banking Department - http://www.nh.gov/banking/
Protects the public interest by securing the safety and soundness of banking and by promoting fair competition. |
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Delaware Securities Division - http://attorneygeneral.delaware.gov/consumers/investmented/
Unit of the Delaware Department of Justice and is charged by law with the regulation of the securities business in Delaware. |
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Oklahoma State Banking Department - http://www.state.ok.us/~osbd/
Regulates state-chartered banks, credit unions, savings and loans, trust companies, money order companies, and cemeteries. |
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South Dakota - Division of Securities - http://www.state.sd.us/drr2/reg/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. |
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West Virginia Division of Banking - http://www.wvdob.org/
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. |
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Montana - State Auditor and Commissioner of Insurance and Securities - http://sao.mt.gov/
With sections for consumers, seniors, insurance, securities, and the land board. |
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Wyoming Department of Audit, Division of Banking - http://audit.state.wy.us/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. |
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Kansas - Office of the Kansas Securities Commissioner - http://www.securities.state.ks.us/
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. |
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New Mexico Public Regulation Commission - http://www.nmprc.state.nm.us/
Regulates public utilities, telecommunications companies, and insurance companies, and assures pipeline and fire safety and with the registration of corporations. |
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New York State Banking Department - http://www.banking.state.ny.us/
Primary regulator for state-licensed and state-chartered financial entities and other financial institutions operating in New York. |
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Nevada Financial Institutions Division - http://fid.state.nv.us/
Enforces regulations and licenses various financial activities, including depository, lending, collection and money transmission activities. |
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Arkansas State Bank Department - http://www.state.ar.us/bank/banking1.html
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. |
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Pennsylvania Department of Banking - http://www.banking.state.pa.us/
Ensure the safety and soundness of state-chartered deposit-taking institutions. |
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Tennessee Department of Commerce and Insurance - http://www.state.tn.us/commerce/
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. |
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Tennessee Department of Financial Institutions - http://www.tennessee.gov/tdfi/
Has legal responsibility for assuring the system of state-chartered banks, credit unions, and other financial institutions runs on a safe and sound basis. |
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Colorado Department of Regulatory Agencies (Division of Banking) - http://www.dora.state.co.us/banking/
Responsible for the regulation of state chartered commercial banks, trust companies, industrial banks, money order companies, money transmitters, and foreign capital depositories. |
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Colorado Department of Regulatory Agencies (Division of Securities) - http://www.dora.state.co.us/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. |
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New Mexico - Regulation and Licensing Department - http://www.rld.state.nm.us/
Includes the Financial Institutions Division (which regulates banks and such-like entities), and the Securities Division (securities offerings and practices). |
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Texas Finance Commission - http://www.fc.state.tx.us/
Responsible for overseeing and coordinating the Texas Department of Banking, the Savings and Loan Department, and the Office of the Consumer Credit Commissioner. |
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Minnesota Department of Commerce - http://www.state.mn.us/portal/mn/jsp/home.do?agency=Commerce
Responsibilities include insuring the financial soundness of financial and insurance companies and preventing unfair business practices. |
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Ohio Department of Commerce - http://www.com.ohio.gov
With a division for Financial Institutions (including sections for Banks, Consumer Finance, Credit Unions, and Savings), and a division for Securities. |
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Texas - Office of Consumer Credit Commissioner - http://www.occc.state.tx.us/
Regulates the credit industry and educates consumers and creditors. |
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American Association of Residential Mortgage Regulators - http://www.aarmr.org/
Promoting information exchange between those who regulate residential mortgage lending, servicing and brokering. |
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Texas Savings and Loan Department - http://www.tsld.state.tx.us/
Charged with adopting rules and determining general policies for the regulation of state savings banks and state savings and loan associations. |
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Maine State Office of Securities - http://www.state.me.us/pfr/sec/sec_index.htm
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 seeking to sell in Maine. |
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Illinois Office of Banks and Real Estate - http://www.obre.state.il.us/
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. |
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Arizona Corporation Commission (Securities Division) - http://www.azcc.gov/divisions/securities/
Includes advice on risk in investing, and suggestions as to how to ascertain the value (if any) of old securities. |
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Hawaii - Division of Financial Institutions - http://hawaii.gov/dcca/areas/dfi/
Part of the Department of Commerce and Consumer Affairs, it regulates and supervises all state-chartered and state-licensed financial institutions and escrow depositories. |
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Massachusetts Securities Division - http://www.sec.state.ma.us/sct/
Divided into sub-divisions of: Enforcement; Corporate Finance; and Licensing and Registration. |
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Massachusetts Division of Banks - http://www.mass.gov/?pageID=ocaagencylanding&L=4&L0=Home&L1=Government&L2=Our+Agencies+and+Divisions&L3=Division+of+Banks&sid=Eoca
Maintains a safe and sound, competitive banking and financial services environment throughout the Commonwealth. Housed under Consumer Affairs and Business Regulation. |