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.
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.
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.
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.
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.
Delaware Securities Division - Unit of the Delaware Department of Justice and is charged by law with the regulation of the securities business in Delaware.
Georgia Department of Banking and Finance - State agency that regulates and examines banks, credit unions and trust companies which are chartered by the State, and mortgage brokers and lenders, check cashers, sale of check companies, international banking organizations, and bank holding companies conducting business in the state.
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.
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 transmitters, cemeteries and issuers of securities.
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.
Indiana Securities Division - Includes detailed description of the operations of pedlers of duff micro stocks, and how to avoid them.
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.
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.
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.
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.
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 seeking to sell in Maine.
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.
Minnesota Department of Commerce - Responsibilities include insuring the financial soundness of financial and insurance companies and preventing unfair business practices.
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.
Missouri Division of Finance - Regulates all state chartered banks and trust companies, savings banks, savings and loan companies and various providers of consumer credit.
Nevada Financial Institutions Division - Enforces regulations and licenses various financial activities, including depository, lending, collection and money transmission activities.
New Hampshire Banking Department - Protects the public interest by securing the safety and soundness of banking and by promoting fair competition.
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).
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.
New York State Banking Department - Primary regulator for state-licensed and state-chartered financial entities and other financial institutions operating in New York.
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.
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.
Oklahoma Department of Securities - Oversees registration of securities, business opportunities, takeovers, offerings of subdivided land, broker-dealers, and investment advisers.
Oklahoma State Banking Department - Regulates state-chartered banks, credit unions, savings and loans, trust companies, money order companies, and cemeteries.
Pennsylvania Securities Commission - Administers the Pennsylvania Securities Act of 1972. Investor information and Recent Enforcement Actions available.
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.
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.
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.
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.
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.
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.
Texas Savings and Loan Department - Charged with adopting rules and determining general policies for the regulation of state savings banks and state savings and loan associations.
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.
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 certified dealers; and by provides investor education opportunities.
Virginia - State Corporation Commission - Includes the Bureau of Financial Institutions (for state-chartered banks), Bureau of Insurance, and Division of Securities and Retail Franchising.
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.
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 business record-keeping system.
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.
Help build the largest human-edited directory on the web.
Stay on top of the latest Internet strategies and link exchange happenings by signing up to our monthly newsletter. Your email will never be sold to anyone and is always completely confidential.
- Promoting information exchange between those who regulate residential mortgage lending, servicing and brokering.
