State Securities Regulators While The Sec Regulates And Enforces The Federal Securities Laws, Each State Has Its Own Securities Regulator Who Enforces What Are Known As “Blue Sky” Laws.
These laws cover many of the same activities the sec regulates, such as the sale of securities and those who sell them, but are confined to securities sold or persons who sell. Click on your state, province or territory to find helpful resources, including contact information for state and provincial securities regulators and other resources those agencies provide. State securities regulators across the country and the cftc have filed a complaint in the united states district court for the central district of california alleging safeguard metals, llc and jeffrey santulan, a/k/a jeffrey hill solicited investors nationwide by touting precious metals at grossly inflated prices that were not disclosed.
Nasaa Has 67 Members, Including The Securities Regulators In All 50 States, The District Of Columbia, Puerto Rico, And The U.s.
Below is a press release from the mississippi secretary of state: The securities division has joined the commodity futures trading commission (cftc) and 26 other state securities regulators in filing a complaint in the united states district court for the central district of california alleging safeguard metals, llc and jeffrey santulan, a/k/a jeffrey hill solicited investors nationwide by touting precious metals at grossly inflated. The united states securities exchange commission is the federal securities regulator in the united states.
This Was Summarized Well By A Quote From Chris Naylor, Indiana Securities Commissioner, When Talking About P2P Lending In Last Week.
And securities regulators in some states are very conservative when it comes to consideration of p2p lending. Rules promulgated under the securities act of 1933. Securities regulation in the united states is the field of u.s.
Your Regulator Also Can Confirm Whether A Company Has Been Cleared To Sell Its Securities In Your State.
Virgin islands with a shared mission of protecting investors from. Nasaa highlights national consumer protection week; Nasaa and sec announce $100 million settlement with blockfi lending, llc.
The Settlement Relates To Cryptocurrency Offerings Made To.
State regulators reported 2,202 enforcement actions in 2020 leading to $306 million in restitution. These laws cover many of the same activities the sec regulates, such as the sale of securities and those who sell them, but are confined to securities sold or persons who sell. Your state securities regulator can also provide you information about a company doing business in the state and can check the central registration depository to tell you whether your broker or brokerage firm has a disciplinary history.