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Office of the Comptroller of the Currency
Office of Thrift Supervision
Securities and Exchange Commission
Business: Financial Services: Banking Services
Regional: North America: United States: Business and Economy: Financial Services
Regional: North America: United States: Government: State Government
American Association of Residential Mortgage Regulators
- Promoting information exchange between those who regulate residential mortgage lending, servicing and brokering.
Arizona Corporation Commission (Securities Division)
- Includes advice on risk in investing, and suggestions as to how to ascertain the value (if any) of old securities.
Arizona Department of Financial Institutions
- Regulates and supervises the financial institutions and enterprises of Arizona.
Arkansas State Bank Department
- Charged with regulating the safety and soundness of state financial institutions for which it serves as primary regulator, in order to assure public confidence in these institutions.
California Department of Corporations
- Licenses and regulates securities brokers and dealers, investment advisers and financial planners, some fiduciaries and lenders, and the offer and sale of securities, franchises and off-exchange commodities.
Colorado Department of Regulatory Agencies (Division of Banking)
- Responsible for the regulation of state chartered commercial banks, trust companies, industrial banks, money order companies, money transmitters, and foreign capital depositories.
Colorado Department of Regulatory Agencies (Division of Securities)
- The mission of the Division is to protect investors and maintain public confidence in the securities markets while avoiding unreasonable burdens on participants in the capital markets.
Conference of State Bank Supervisors
- Annual conference promoting state-chartered banking.
Connecticut Department of Banking
- Regulates and assists individuals and entities under its jurisdiction and serves, protects and educates the public as users of financial services.
Delaware - Office of the State Bank Commissioner
- Regulates State-chartered banks and trust companies for safety and soundness and non-depository financial services licensees for compliance with applicable laws.
District of Columbia Department of Insurance and Securities Regulation
- Regulates the insurance and securities industries operating in and from the District of Columbia.
Idaho - Department of Finance
- Regulates banks, savings and loan associations, business and industrial development companies, trust companies, credit unions, lenders, collectors, companies that offer credit, mortgage brokers and bankers, stock brokers, investment advisers, money transmitters, cemeteries and issuers of securities.
Illinois Office of Banks and Real Estate
- Oversees state-chartered banks and thrifts, corporate fiduciaries, real estate brokers and agents, appraisers, timeshare/land sales, mortgage bankers and brokers, leasing agents, check printers, pawnbrokers, and auctioneers.
Indiana Department of Financial Institutions
- Includes a correspondence on the legality of the "Automatic Overdraft Protection Program".
Indiana Securities Division
- Includes detailed description of the operations of pedlers of duff micro stocks, and how to avoid them.
Iowa Division of Banking
- Strives to maintain a regulatory environment that assures the citizens of Iowa are provided banking and other financial services that are safe, sound, profitable, and contribute to the economic well-being of the state and its communities.
Kansas - Office of the Kansas Securities Commissioner
- The first state to regulate the securities industry (in 1911, preventing the sale of securities which had nothing behind them other than the "blue sky"). Now regulates and monitors the offering of securities and financial services within Kansas.
Kansas - Office of the State Bank Commissioner
- Regulates all state chartered banks and trust companies, savings and loan companies, mortgage businesses, and money transmitters, to ensure the safety and soundness of state chartered financial institutions.
Kentucky - Department of Financial Institutions
- Department organized into three: Division of Financial Institutions; Division of Securities; and Division of Administrative Services.
Louisiana - Office of Financial Institutions
- Divided into three major divisions based on general types of institutions regulated: the Depository Institutions Division; the Non-Depository Services Division; and the Securities Division.
Maine State Office of Securities
- Protects investors by investigating and prosecuting violations of the securities laws; licensing broker-dealers, sales representatives, and investment advisers; and reviewing registration statements and exemption filings for securities issuers that are seeking to sell in Maine.
Maryland Division of Financial Regulation
- Part of the Department of Labor, Licensing and Regulation.
Massachusetts Securities Division
- Divided into sub-divisions of: Enforcement; Corporate Finance; and Licensing and Registration.
Michigan Department of Labor and Economic Growth
- State organization that includes regulatory authorities for consumer affairs and other functions.
Minnesota Department of Commerce
- Responsibilities include insuring the financial soundness of financial and insurance companies and preventing unfair business practices.
Mississippi - Department of Banking and Consumer Finance
- Ensures the safety and soundness of the financial institutions chartered under state authority and monitors the institutions' compliance with governing laws and regulations.
Montana - State Auditor and Commissioner of Insurance and Securities
- With sections for consumers, seniors, insurance, securities, and the land board.
Nebraska Department of Banking and Finance
- Comprised of two divisions, Financial Institutions, and Bureau of Securities.
Nevada Financial Institutions Division
- Enforces regulations and licenses various financial activities, including depository, lending, collection and money transmission activities.
New Hampshire Banking Department
- Protects the public interest by securing the safety and soundness of banking and by promoting fair competition.
New Jersey Department of Banking and Insurance
- Regulator of the banking, insurance and real estate industries in New Jersey.
New Mexico - Regulation and Licensing Department
- Includes the Financial Institutions Division (which regulates banks and such-like entities), and the Securities Division (securities offerings and practices).
New Mexico Public Regulation Commission
- Regulates public utilities, telecommunications companies, and insurance companies, and assures pipeline and fire safety and with the registration of corporations.
New York State Department of Financial Services
- Primary regulator for state-licensed and state-chartered financial entities and other financial institutions operating in New York.
North Dakota Securities Department
- Mission is to strengthen the integrity of the marketplace for securities, franchises and commodities in North Dakota.
North Dakota - Department of Financial Institutions
- Regulates state banks, trust companies, building and loan associations, mutual investment corporations, mutual savings corporations, banking institutions, and other financial corporations.
Ohio Department of Commerce
- With a division for Financial Institutions (including sections for Banks, Consumer Finance, Credit Unions, and Savings), and a division for Securities.
Oklahoma Department of Securities
- Oversees registration of securities, business opportunities, takeovers, offerings of subdivided land, broker-dealers, and investment advisers.
Oregon Division of Finance and Corporate Securities
- Part of the Department of Consumer and Business Services.
Pennsylvania Department of Banking
- Ensure the safety and soundness of state-chartered deposit-taking institutions.
Pennsylvania Securities Commission
- Administers the Pennsylvania Securities Act of 1972. Investor information and Recent Enforcement Actions available.
Rhode Island Department of Business Regulation
- Includes the Board of Accountancy, the Division of Banking Regulation, the Division of Insurance Regulation, and the Division of Securities Regulation.
South Dakota - Division of Banking
- Part of the Department of Labor.
South Dakota - Division of Securities
- Sets rules and procedures to ensure that investments sold in South Dakota meet standards of full disclosure. Standards apply to three types of investments: securities products, franchises and business opportunities.
Tennessee Department of Commerce and Insurance
- Includes the Securities Division which licenses brokers, dealers and investigates fraud; and the Insurance Division, which regulates over 1,600 insurance companies and 60,000 agents.
Tennessee Department of Financial Institutions
- Has legal responsibility for assuring the system of state-chartered banks, credit unions, and other financial institutions runs on a safe and sound basis.
Texas - Office of Consumer Credit Commissioner
- Regulates the credit industry and educates consumers and creditors.
Texas Department of Banking
- Charters, licenses, and regulates financial providers in the state of Texas to ensure that Texas has a safe and sound financial services system.
Texas Finance Commission
- Responsible for overseeing and coordinating the Texas Department of Banking, the Savings and Loan Department, and the Office of the Consumer Credit Commissioner.
Texas State Securities Board
- Divided into the Enforcement Division, the Registration Division, the Inspections and Compliance Division, the General Counsel Division, and the Staff Services Division.
Utah Department of Financial Institutions
- Also has jurisdiction over residential mortgage and consumer lending.
Vermont Department of Banking, Insurance, Securities and Health Care Administration
- Includes the Insurance Division, the Securities Division and the Banking Division.
Virginia - State Corporation Commission
- Includes the Bureau of Financial Institutions (for state-chartered banks), Bureau of Insurance, and Division of Securities and Retail Franchising.
Washington State Department of Financial Institutions
- Includes the Banks Division, Consumer Services Division, Credit Unions Division and the Securities Division.
West Virginia Division of Financial Institutions
- Part of the Department of Commerce, Labor and Environmental Resources, it oversees the state's financial services industry to foster and promote a sound and dynamic climate.
Wisconsin Department of Financial Institutions
- Dedicated to protecting Wisconsin citizens through financial regulation and education, ensuring the safety and soundness of Wisconsin financial institutions, protecting the investing public, and enhancing the viability and accessibility of the state's business record-keeping system.
Wyoming Department of Audit, Division of Banking
- Promotes a progressive banking environment, ensures fair and lawful consumer related financial transactions, provides the public with convenient, safe and competitive banking and allows for economic development.
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