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Michigan Department of Labor and Economic Growth - http://www.michigan.gov/cis/
State organization that includes regulatory authorities for consumer affairs and other functions. |
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Texas State Securities Board - http://www.ssb.state.tx.us/
Divided into the Enforcement Division, the Registration Division, the Inspections and Compliance Division, the General Counsel Division, and the Staff Services Division. |
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California Department of Corporations - http://www.corp.ca.gov/
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. |
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Washington State Department of Financial Institutions - http://www.dfi.wa.gov/
Includes the Banks Division, Consumer Services Division, Credit Unions Division and the Securities Division. |
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California - Department of Financial Institutions - http://www.dfi.ca.gov
Responsible for regulating the safety and soundness of California's state-chartered financial institutions. |
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New Mexico Public Regulation Commission - http://www.nmprc.state.nm.us/
Regulates public utilities, telecommunications companies, and insurance companies, and assures pipeline and fire safety and with the registration of corporations. |
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Texas Finance Commission - http://www.fc.state.tx.us/
Responsible for overseeing and coordinating the Texas Department of Banking, the Savings and Loan Department, and the Office of the Consumer Credit Commissioner. |
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New York State Banking Department - http://www.banking.state.ny.us/
Primary regulator for state-licensed and state-chartered financial entities and other financial institutions operating in New York. |
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Pennsylvania Securities Commission - http://www.psc.state.pa.us/
Administers the Pennsylvania Securities Act of 1972. Investor information and Recent Enforcement Actions available. |
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Connecticut Department of Banking - http://www.ct.gov/dob/site/
Regulates and assists individuals and entities under its jurisdiction and serves, protects and educates the public as users of financial services. |
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Tennessee Department of Commerce and Insurance - http://www.state.tn.us/commerce/
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. |
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North Dakota - Department of Financial Institutions - http://www.nd.gov/dfi/
Regulates state banks, trust companies, building and loan associations, mutual investment corporations, mutual savings corporations, banking institutions, and other financial corporations. |
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Missouri Division of Finance - http://www.missouri-finance.org/
Regulates all state chartered banks and trust companies, savings banks, savings and loan companies and various providers of consumer credit. |
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Kentucky - Department of Financial Institutions - http://www.dfi.state.ky.us/
Department organized into three: Division of Financial Institutions; Division of Securities; and Division of Administrative Services. |
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Iowa Division of Banking - http://www.idob.state.ia.us/
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. |
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Wyoming Department of Audit, Division of Banking - http://audit.state.wy.us/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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Idaho - Department of Finance - http://finance.idaho.gov/
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. |
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New Hampshire Banking Department - http://www.nh.gov/banking/
Protects the public interest by securing the safety and soundness of banking and by promoting fair competition. |
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American Association of Residential Mortgage Regulators - http://www.aarmr.org/
Promoting information exchange between those who regulate residential mortgage lending, servicing and brokering. |
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Ohio Department of Commerce - http://www.com.ohio.gov
With a division for Financial Institutions (including sections for Banks, Consumer Finance, Credit Unions, and Savings), and a division for Securities. |
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District of Columbia Department of Insurance and Securities Regulation - http://disr.dc.gov/
Regulates the insurance and securities industries operating in and from the District of Columbia. |
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Oklahoma State Banking Department - http://www.state.ok.us/~osbd/
Regulates state-chartered banks, credit unions, savings and loans, trust companies, money order companies, and cemeteries. |
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Colorado Department of Regulatory Agencies (Division of Banking) - http://www.dora.state.co.us/banking/
Responsible for the regulation of state chartered commercial banks, trust companies, industrial banks, money order companies, money transmitters, and foreign capital depositories. |
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Oregon Division of Finance and Corporate Securities - http://www.cbs.state.or.us/external/dfcs/
Part of the Department of Consumer and Business Services. |
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Oklahoma Department of Securities - http://www.securities.state.ok.us/
Oversees registration of securities, business opportunities, takeovers, offerings of subdivided land, broker-dealers, and investment advisers. |
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Maine State Office of Securities - http://www.state.me.us/pfr/sec/sec_index.htm
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. |
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Kansas - Office of the State Bank Commissioner - http://www.osbckansas.org/
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. |
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Utah Division of Securities - http://www.securities.state.ut.us/
The division, part of the Department of Commerce, registers securities; reviews exemptions; issues no-action letters and interpretative opinions; licenses broker-dealers and their agents, investment advisers and their representatives, issuer agents, and certified dealers; and by provides investor education opportunities. |
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Tennessee Department of Financial Institutions - http://www.state.tn.us/financialinst/
Has legal responsibility for assuring the system of state-chartered banks, credit unions, and other financial institutions runs on a safe and sound basis. |
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Texas - Office of Consumer Credit Commissioner - http://www.occc.state.tx.us/
Regulates the credit industry and educates consumers and creditors. |
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Delaware Securities Division - http://www.state.de.us/securities/
Unit of the Delaware Department of Justice and is charged by law with the regulation of the securities business in Delaware. |
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Kansas - Office of the Kansas Securities Commissioner - http://www.securities.state.ks.us/
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. |
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Hawaii - Division of Financial Institutions - http://www.state.hi.us/dcca/dfi/
Part of the Department of Commerce and Consumer Affairs, it regulates and supervises all state-chartered and state-licensed financial institutions and escrow depositories. |
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South Dakota - Division of Securities - http://www.state.sd.us/dcr/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. |
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Texas Savings and Loan Department - http://www.tsld.state.tx.us/
Charged with adopting rules and determining general policies for the regulation of state savings banks and state savings and loan associations. |
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South Dakota - Division of Banking - http://www.state.sd.us/drr2/reg/bank/BANK-HOM.htm
Part of the Department of Commerce and Regulation. |
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Alaska Banking, Securities, and Corporations Division - http://www.dced.state.ak.us/bsc/
Part of the Alaska Department of Community and Economic Development. Maintains a stable financial network for financial services, and protects investors shareholders. |
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Massachusetts Securities Division - http://www.state.ma.us/sec/sct/
Divided into sub-divisions of: Enforcement; Corporate Finance; and Licensing and Registration. |
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Arizona Corporation Commission (Securities Division) - http://www.ccsd.cc.state.az.us/
Includes advice on risk in investing, and suggestions as to how to ascertain the value (if any) of old securities. |
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Illinois Office of Banks and Real Estate - http://www.obre.state.il.us/
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. |
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Arkansas State Bank Department - http://www.state.ar.us/bank/banking1.html
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. |
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Massachusetts Division of Banks - http://www.mass.gov/?pageID=ocaagencylanding&L=4&L0=Home&L1=Government&L2=Our+Agencies+and+Divisions&L3=Division+of+Banks&sid=Eoca
Maintains a safe and sound, competitive banking and financial services environment throughout the Commonwealth. Housed under Consumer Affairs and Business Regulation. |
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Georgia Department of Banking and Finance - http://www.state.ga.us/dbf/
State agency that regulates and examines banks, credit unions and trust companies which are chartered by the State, and mortgage brokers and lenders, check cashers, sale of check companies, international banking organizations, and bank holding companies conducting business in the state. |