How to Choose the Right PPM Template: Regulation D Overview

List of State Securities Regulators

Posted by Fundingcoach.com on Oct 21, 2019 12:30:00 AM

State securities regulators have individual websites with important information. Click the state to visit the website of each agency.

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

Kristy Naylor
Acting 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

 

Christopher Gerold
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

 

Ben Schrope
Acting 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
28 Liberty Street
New York, NY 10005
(212) 416-8222
(212) 416-8816 (Fax)

Lynn McKenna-Krumins
Director of Securities

 

Katherine C. Milgram
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) 814-5400
(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
1050 First Street, NE, Suite 801
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)

Lee Kell
Director, Division of Securities

 

Andrea Seidt
Commissioner

 

Georgia
Office of Secretary of State
Securities and Charities Division
2 Martin Luther King, Jr., Drive, SE
Suite 317, 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

 

JP Jones
Division Deputy 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
Deputy Director Securities, Commercial Licensing and Gaming and Athletics Divisions

 

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
P.O. Box 11549
Columbia, SC 29211-1549
(803) 734-9916
(803) 734-3677 (Fax)

Craig Goettsch
Securities Administrator

 

T. Stephen Lynch
Deputy Securities Commissioner

 

Kansas
Office of the Securities Commissioner
A Division of the Kansas Insurance Department
109 SW 9th Street
Suite 600
Topeka, KS 66612
(785) 296-3307
(785) 296-6872 (Fax)
South Dakota 
Department of Labor and Regulation
Division of Insurance
Securities Regulation
124 South Euclid Ave., Suite 104
Pierre, SD 57501-3185
(605) 773-4823
(605) 773-5953 (Fax)

John R. Wine, Jr.
Securities Commissioner

 

Larry Deiter
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
P.O. Box 13167
Austin, TX 78701
(512) 305-8300
(512) 305-8310 (Fax)

Len Riviere
Deputy Commissioner of Securities

 

Travis Iles
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 Floor
P.O. Box 146760
Salt Lake City, UT 84114-6760
(801) 530-6600
(801) 530-6980 (Fax)

Melanie Senter Lubin
Securities Commissioner

 

Thomas Brady
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
Commissioner

 

Michigan
Department of Licensing and Regulatory Affairs
Corporations, Securities and Commercial Licensing Bureau
2501 Woodlake Circle
Okemos, MI 48864
P.O. Box 30018
Lansing, MI 48909
517-241-6470
Virginia
State Corporation Commission
Division of Securities & Retail Franchising
1300 East Main Street
9th Floor
P.O. Box 1197
Richmond, VA 23218
(804) 371-9051
(804) 371-9911 (Fax)

Julia Dale
Bureau Director

 

Ronald W. Thomas
Director

 

Minnesota
Department of Commerce
85 East 7th Place
Suite 280
Saint Paul, MN 55101
(651)539-1638
(651) 296-4328 (Fax)
Washington
Department of Financial Institutions
Securities Division
150 Israel Rd, SW
P.O. Box 9033
Tumwater, WA 98507-9033
(360) 902-8760
(360) 902-0524 (Fax)

Jessica Looman
Commissioner

 

William Beatty
Director of Securities

 

Mississippi
Office of the Secretary of State
Securities Division
125 S. Congress Street
P.O. 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)

Jessica Long
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 300
P.O. Box 1768
Madison, WI 53701-1768
(608)  266-1064
(608) 264-7979 (Fax)

David Minnick
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

 

Johanna Superina
Deputy Director of Enforcement

 

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

Topics: Securities Laws, Regulation D Rules

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