Contact Your Regulator

Click the jurisdiction’s name to visit the website of each NASAA member.
United States

Alabama
Securities Commission
401 Adams Avenue
Suite 280
P.O. Box 304700
Montgomery, AL 36130-4700
(334) 242-2984
(800) 222-1253
(334) 242-0240 (Fax)
Montana
Commissioner of Securities & Insurance
Montana State Auditor’s Office
Securities Department
840 Helena Avenue
Helena, MT 59601
(406) 444-2040
(406) 444-5558 (Fax)
Joseph P. Borg
Director
Lynne Egan
Deputy Securities Commissioner
Alaska
Dept. of Commerce, Community and Economic Development
Division of Banking and Securities
P.O. Box 110807
Juneau, AK 99811-0807
(907) 465-2521
(907) 465-2549 (Fax)
Nebraska
Nebraska Department of Banking & Finance
Bureau of Securities
1526 K Street, Suite 300
Lincoln, NE 68508
(402) 471-3445
Kevin Anselm
Director
Claire McHenry
Deputy Director – Securities Bureau
Arizona
Corporation Commission
Securities Division
1300 West Washington Street
Third Floor
Phoenix, AZ 85007
(602) 542-4242
(602) 388-1335 (Fax)
Nevada
Secretary of State
Securities Division
555 East Washington Avenue
Suite 5200
Las Vegas, NV 89101
(702) 486-2440
(702) 486-2452 (Fax)
Matthew J. Neubert
Director
Diana Foley
Securities Administrator
Arkansas
Securities Department
Heritage West Building
201 East Markham, Room 300
Little Rock, AR 72201-1692
(501) 324-9260
(501) 324-9268 (Fax)
New Hampshire
Bureau of Securities Regulation
Department of State
107 North Main Street, # 204
Concord, NH 03301-4989
(603) 271-1463
(603) 271-7933 (Fax)
Edmond Waters
Securities Commissioner
Barry Glennon
Director of Securities Regulation
California
Department of Business Oversight
1515 K Street
Suite 200
Sacramento, CA 95814-4052
(866) 275-2677
(916) 322-1559 (Fax)
New Jersey
Office of the New Jersey Attorney General
Bureau of Securities
153 Halsey Street
6th Floor
Newark, NJ 07102
(973) 504-3600
(973) 504-3601 (Fax)
Jan Lynn Owen
Commissioner of the Department of Business Oversight
Laura Posner
Bureau Chief
Colorado
Division of Securities
1560 Broadway
Suite 900
Denver, CO 80202
(303) 894-2320
(303) 861-2126 (Fax)
New Mexico
Regulation & Licensing Department
Securities Division
2550 Cerrillos Road
Santa Fe, NM 87505
(505) 476-4580
(505) 984-0617 (Fax)
Gerald Rome
Securities Commissioner
Alexis Lotero
Director of Securities
Connecticut
Department of Banking
260 Constitution Plaza
Hartford, CT 06103-1800
(860) 240-8230
(860) 240-8295 (Fax)
New York
Office of the Attorney General
Investor Protection Bureau
120 Broadway
23rd Floor
New York, NY 10271
(212) 416-8222
(212) 416-8816 (Fax)
Eric Wilder
Director of Securities
Vacant
Bureau Chief
Delaware
Delaware Department of Justice
Investor Protection Unit
Carvel State Office Building
820 North French Street, 5th Fl.
Wilmington, DE 19801
(302) 577-8424
(302) 577-6987 (Fax)
North Carolina
Department of the Secretary of State
Securities Division
2 South Salisbury Street
Raleigh, NC 27601
(919) 733-3924
(919) 807-2183 (Fax)
Gregory Strong
Investor Protection Director
Kevin Harrington
Deputy Securities Administrator
District of Columbia
Department of Insurance, Securities and Banking
Securities Bureau
810 First Street, NE
Suite 701 Washington, DC 20002
(202) 442-7800
(202) 354-1092 (Fax)
North Dakota
Securities Commission
600 East Boulevard
State Capitol, 5th Floor
Bismarck, ND 58505-0510
(701) 328-2910
(701) 328-2946 (Fax)
Theodore A. Miles
Associate Commissioner, Securities
Karen Tyler
Commissioner
Florida
Office of Financial Regulation
200 East Gaines Street
Tallahassee, FL 32399-0372
(850) 410-9500
(850) 410-9748 (Fax)
Ohio
Division of Securities
77 South High Street, 22nd Floor
Columbus, OH 43215-6131
(614) 644-7381
(614) 466-3316 (Fax)
Pam Epting
Director, Division of Securities
Andrea Seidt
Commissioner
Georgia
Office of Secretary of State
Securities Division
2 Martin Luther King, Jr., Drive, SE
Suite 313, West Tower
Atlanta, Georgia 30334
(404) 654-6023
Oklahoma
Securities Commissioner
Oklahoma Department of Securities
204 N Robinson, Ste. 400
Oklahoma City OK 73102-7001
(405) 280-7700
(405) 280-7742 (Fax)
Noula Zaharis
Securities Division Director
Irving Faught
Administrator
Hawaii
Department of Commerce & Consumer Affairs
Division of Business Regulation
335 Merchant Street
Room 203
Honolulu, HI 96813
(808) 586-2744
(808) 586-2733 (Fax)
Oregon
Department of Consumer and Business Services
Division of Financial Regulation
350 Winter Street, NE
Room 410
Salem, OR 97301-3881
(503) 378-4140
(503) 947-7862 (Fax)
Ty Nohara
Commissioner of Securities
Laura Cali
Division Administrator
Idaho
Department of Finance
800 Park Boulevard
Suite 200
Boise, ID 83712
(208) 332-8004
(208) 332-8099 (Fax)
Pennsylvania
Pennsylvania Department of
Banking and Securities
17 North 2nd Street, Suite 1300
Harrisburg, PA 17101-2290
(717) 787-2665
(717) 783-5125 (Fax)
Jim Burns
Securities Bureau Chief
Robin Wiessmann
Commissioner (Vice Chair) and Secretary of Banking and Securities
Illinois
Office of the Secretary of State
Securities Department
69 West Washington Street, Suite 1220
Chicago, IL 60602
(312) 793-3384
(312) 793-1202 (Fax)
Puerto Rico
Commissioner of Financial Institutions
PO Box 11855
San Juan, PR 00910-3855
(787) 723-3131
(787) 723-4225 (Fax)
Tanya Solov
Director of Securities
Damaris Mendoza-Roman
Securities Administrator
Indiana
Office of the Secretary of State
Securities Division
302 West Washington, Room E-111
Indianapolis, IN 46204
(317) 232-6681
(317) 233-3675 (Fax)
Rhode Island
Department of Business Regulation
1511 Pontiac Avenue
John O. Pastore Complex Bldg. 69-1
Cranston, RI 02920-4407
(401) 462-9527
(401) 462-9645 (Fax)
Alex Glass
Securities Commissioner
Maria D’Alessandro
Associate Director & Superintendent of Securities
Iowa
Insurance Division
Securities Bureau
601 Locust – 4th floor
Des Moines, IA 50309
(515) 281-5705
(515) 281-3059 (Fax)
South Carolina
Office of the Attorney General
Securities Division
Rembert C. Dennis Office Building, Suite 501
1000 Assembly Street
PO Box 11549
Columbia, SC 29211-1549
(803) 734-9916
(803) 734-3677 (Fax)
Rosanne Mead
Securities Administrator
T. Stephen Lynch
Deputy Securities Commissioner
Kansas
Office of the Securities Commissioner
109 SW 9th Street
Suite 600
Topeka, KS 66612
(785) 296-3307
(785) 296-6872 (Fax)
South Dakota
Division of Securities
124 South Euclid Avenue
Suite 104
Pierre, SD 57501-3185
(605) 773-4823
(605) 773-5953 (Fax)
Joshua Ney
Securities Commissioner
Michael Youngberg
Director
Kentucky
Department of Financial Institutions
1025 Capital Center Drive
Suite 200
Frankfort, KY 40601
(502) 573-3390
(800) 223-2579
(502) 573-2182 (Fax)
Tennessee
Department of Commerce & Insurance
Securities Division
Davy Crockett Tower, Suite 680
500 James Robertson Parkway
Nashville, TN 37243-0575
(615) 741-2947
(615) 532-8375 (Fax)
Shonita Bossier
Director, Div. of Securities
Frank Borger-Gilligan
Assistant Commissioner for Securities
Louisiana
Securities Commission
Office of Financial Institutions
8660 United Plaza Blvd.
Second Floor
Baton Rouge, LA 70809-7024
(225) 925-4512
Texas
State Securities Board
208 East 10th Street
5th Floor, PO Box 13167
Austin, TX 78701
(512) 305-8300
(512) 305-8310 (Fax)
Rhonda Reeves
Deputy Securities Commissioner
John Morgan
Securities Commissioner
Maine
Dept. of Professional & Financial Regulation
Office of Securities
121 State House Station
Augusta, ME 04333-0121
(207) 624-8551
(207) 624-8590 (Fax)
U.S. Virgin Islands
Division of Banking and Insurance
18 Kongens Gade
Saint Thomas, VI 00802
(340) 774-7166
Judith M. Shaw
Securities Administrator
Deverita Sturdivant
Chief of Securities Regulation
Maryland
Office of the Attorney General
Division of Securities
200 Saint Paul Place
Baltimore, MD 21202-2020
(410) 576-6360
(410) 576-6532 (Fax)
Utah
Department of Commerce
Division of Securities
160 East 300 South
2nd FloorPO Box 146760
Salt Lake City, UT 84114-6760
(801) 530-6600
(801) 530-6980 (Fax)
Melanie Senter Lubin
Securities Commissioner
Keith Woodwell
Director
Massachusetts
Securities Division
One Ashburton Place, Room 1701
Boston, MA 02108
(617) 727-3548
(617) 248-0177 (Fax)
Vermont
Department of Financial Regulation
89 Main Street, 3rd Floor
Montpelier, VT 05620-3101
(802) 828-3420
(802) 828-2896 (Fax)
Bryan Lantagne
Director
Michael Pieciak
Deputy Commissioner of Securities
Michigan
Department of Licensing and Regulatory Affairs
Corporations, Securities and Commercial Licensing Bureau
2501 Woodlake Circle, Okemos, MI 48864
PO Box 30018
Lansing, MI 48909
517-241-6470
Virginia
State Corporation Commission
Division of Securities & Retail Franchising
1300 East Main Street
9th FloorPO Box 1197
Richmond, VA 23218
(804) 371-9051
(804) 371-9911 (Fax)
Julia Dale
Acting Bureau Director
Ronald W. Thomas
Director
Minnesota
Department of Commerce
85 East 7th Place
Suite 500
Saint Paul, MN 55101
(651)539-1638
(651) 296-4328 (Fax)
Washington
Department of Financial Institutions
Securities Division
150 Israel Rd, SWPO Box 9033
Tumwater, WA 98507-9033
(360) 902-8760
(360) 902-0524 (Fax)
Mike Rothman
Commissioner
William Beatty
Director of Securities
Mississippi
Office of the Secretary of State
Securities Division
125 S. Congress Street, PO Box 136
Jackson, MS 39201
(601) 359-1334
(601) 359-9070 (Fax)
West Virginia
Office of the State Auditor
Securities Division
Building 1
Room W-100
Charleston, WV 25305-0230
(304) 558-2257
(304) 558-4211 (Fax)
Cheryn Netz
Asst. Secretary of State
Lisa Hopkins
Senior Deputy Commissioner of Securities
Missouri
Office of the Secretary of State
Securities Division
600 West Main Street
Jefferson City, MO 65101
(573) 751-4136
(573) 526-3124 (Fax)
Wisconsin
Department of Financial Institutions
Division of Securities
201 W. Washington Avenue
Suite 300PO Box 1768
Madison, WI 53701-1768
(608)  266-1064
(608) 264-7979 (Fax)
Andrew Hartnett
Securities Commissioner
Leslie Van Buskirk
Administrator
Wyoming
Secretary of State
Compliance Division
2020 Carey Avenue, Suite 700
Cheyenne, WY 82002
(307) 777-7370
(307) 777-7640 (Fax)
Kelly Janes
Division Director
Canada
Alberta
Securities Commission
Suite 600, 250 – 5th Street S.W.
Calgary, AB T2P 0R4
Canada
(403) 297-4233
(403) 297-6156 (Fax)
Nunavut
Department of Justice
Legal Registries Division
P.O. Box 1000 – Station 570
1st Floor, Brown Building
Iqaluit, NU X0A 0H0
Canada
(867) 975-6598
(867) 975-6594 (Fax)
David Linder
Executive Director
Jeff Mason
Director
British Columbia
Securities Commission
P.O. Box 10142, Pacific Centre
701 West Georgia Street
Vancouver, BC V7Y 1L2
Canada
(604) 899-6500
(604) 899-6506 (Fax)
Ontario
Securities Commission
20 Queen Street West, Suite 1900
Box 55
Toronto, ON M5H 3S8
Canada
(416) 593-8314
(416) 593-8122 (Fax)
Brenda Leong
Chair
Kathryn Daniels
Deputy Director of Corporate Finance
Manitoba
Securities Commission
500-400 St. Mary Avenue
Winnipeg, MB R3C 4K5
Canada
(204) 945-2548
(204) 945-0330 (Fax)
Prince Edward Island
Department of Environment, Labour and Justice
95 Rochford Street
4th Floor, Shaw Building
Charlottetown, PE C1A 7N8
Canada
(902) 368-4550
(902) 368-5283 (Fax)
Donald G. Murray
Chair
Steven Dowling
Superintendent of Securities
New Brunswick
Financial and Consumer Services Commission
85 Charlotte Street, Suite 300
Saint John, NB E2L 2J2
Canada
(506) 643-7691
(506) 658-3059 (Fax)
Québec
Autorité des Marchés Financiers
800 Square Victoria, 22nd Floor
C.P. 246, tour de la Bourse
Montreal, PQ H4Z 1G3
Canada
(514) 395-0337
(514) 873-3090 (Fax)
Kevin Hoyt
Executive Director
Jean Lorrain
Director, International Affairs
Regulation Directorate
Newfoundland & Labrador
Financial Services Regulation Division
PO Box 8700
St. John’s, NL  A1B 4J6
Canada
(709)-729-4189
(709)-729-6187 (Fax)
Saskatchewan
Financial and Consumer Affairs Authority
601 – 1919 Saskatchewan Drive
Regina, SK S4P 4H2
Canada
(306) 787-5879
(306) 787-5899 (Fax)
John O’Brien
Superintendent of Securities
Dean Murrison
Director
Northwest Territories
Office of Superintendent of Securities
Department of Justice
1st Floor Stuart M. Hodgson Building
5009 – 49th Street
PO Box 1320
Yellowknife, NT X1A 2L9
Canada
(867) 873-7490
(867) 873-0243 (Fax)
Yukon
Department of Community Services
Corporate Affairs C-6
P.O. Box 2703
Whitehorse, YT Y1A 2C6
Canada
(867) 667-5314
(867) 393-6251 (Fax)
Tom Hall
Superintendent of Securities
Frederik Pretorius
Superintendent of Securities
Nova Scotia
Securities Commission
5251 Duke Street
Suite 400, Duke TowerPO Box 458
Halifax, NS B3J 2P8
Canada
(902) 424-7768
(902) 424-4625 (Fax)
Paul E. Radford
Chair

 

Mexico
Comisión Nacional Bancaria y de Valores
Av. Insurgentes Sur 1971, Torre Sur
Piso 11
Plaza Inn, Col. Guadalupe Inn, C.P. 01020
Mexico
011 52 55 1454-6020
Jose Loyola
Director General of International Affairs