The Office of Securities is also open to the public during business hours. To ensure that someone is available to assist you, we recommend that you schedule an appointment in advance.

We look forward to hearing from you.

ALERT: New Law Becomes Effective: An Act to Protect Vulnerable Adults from Financial Exploitation

An Act to Protect Vulnerable Adults from Financial Exploitation was signed into law on April 2, 2019, and became effective on September 19, 2019. The law requires "qualified individuals," who include Broker-Dealer Agents, Investment Adviser Representatives, and people who serve in a supervisory, compliance, or legal capacity for a Broker-Dealer or Investment Adviser, to report to the Office of Securities and to Adult Protective Services suspected cases of financial exploitation of a vulnerable adult. Firms may delay disbursements believed to be in furtherance of financial exploitation and may disclose information to a third-party previously designated by the vulnerable adult. Firms are provided immunity from administrative and civil liability for actions consistent with the law. A copy of the law is available here.

ALERT: Amended Rule Ch. 510, Broker-Dealers, Investment Advisers, and Others Using the Internet for General Dissemination of Information about Securities Products and Services Effective June 13, 2021.