Securities Commissioner

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Securities Commission - wvsao.gov

The Securities Commission, a division of the West Virginia State Auditor's Office, administers and enforces The West Virginia Uniform Securities Act, The West Virginia Commodities Act, The West Virginia Real Estate Time-Sharing Act, and all associated regulations. The administrative duty of the Securities Commission includes the regulation of ...

Securities commission - Wikipedia

A securities commission is a government department or agency responsible for financial regulation of securities products within a particular country. Its powers and responsibilities vary greatly from country to country, but generally cover the setting of rules as well as enforcing them for financial intermediaries and stock exchanges .

Securities - Montana Commissioner of Securities and Insurance

The Securities Act of Montana was designed to protect investors and persons engaged in securities transactions. The structure of the Act is designed to encourage, promote, and facilitate Montana investment opportunities while promoting uniformity among the states. Together, these three tasks—investor protection, capital formation, and uniformity—guide our processes and policies. The ...

Travis Iles Appointed Texas Securities Commissioner

2017. The Texas State Securities Board on Aug. 1 appointed Travis J. Iles as Securities Commissioner, effective Sept. 1. Iles, a 16-year veteran of the agency, has served as Deputy Commissioner since September 2016. He previously served as Assistant Director of the Enforcement Division and worked as an attorney in the agency's Inspections ...

Home Page | Texas State Securities Board

Recent Texas State Securities Board Administrative Orders. The Texas Securities Commissioner, Travis J. Iles, recently entered several administrative orders. The orders touch on all agency programs - Enforcement, Registration, and Inspections & Compliance - and represent fair and measured regulatory outcomes designed to protect Texas ...

Securities | Kansas Insurance Department

Office of the Securities Commissioner 1300 SW Arrowhead Road Topeka, KS 66604. Contact. Kansas Insurance Department 1300 SW Arrowhead Rd. Topeka, KS 66604 Phone: 785-296-3071 Consumer Hotline: 800-432-2484 (in state) 785-296-7829 (out of state) Email: kid.commissioner@ks.gov. Help With.

Securities Home | DORA Division of Security

Welcome to the Colorado Division of Securities. The Division of Securities exists to protect investors and maintain confidence in the securities market, while avoiding unreasonable burdens on the marketplace by licensing securities professionals, enforcing securities law violations, and helping Coloradans become more informed investors.

The Commission - Department of Banking and Securities

Public meeting dates for the Commonwealth of Pennsylvania Banking and Securities Commission are scheduled to be held on the following dates: February 10, May 12, August 11, and November 17 (all at 1pm). These meeting dates have been publicized in the Patriot News in accordance with the Pennsylvania's Sunshine Act (Open Meetings Law), 65 Pa.C.S ...

Arkansas Securities Department

Investment Scams in the Metaverse: How to Protect Yourself from Losing Real Money in the Virtual World. The Arkansas Securities Department has issued a new investor advisory entitled "Investment Scams in the Metaverse:... The Arkansas Securities Department ("Department") has released an Investment Adviser Guide to assist state-registered ...

Business Registration Division - Securities - Hawaii

Organizationally, these branches fall under the Business Registration Division, which is administered by the Securities Commissioner. REGULATE: Securities Compliance Branch. This branch is responsible for the registration of securities, broker-dealers and their sales agents, investment advisers and their representatives doing business in Hawaii