- Alaska Banking, Securities, and Corporations Division
Part of the Alaska Department of Community and Economic Development. Maintains a stable financial network for financial services, and protects investors shareholders.
- 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 State Banking Department
Regulates and supervises the financial institutions and enterprises of Arizona according to the statutes in ways that will not unreasonably impede economic growth or business activity.
- 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 Financial Institutions
Responsible for regulating the safety and soundness of California's state-chartered financial institutions.
- California Corporations Commissioner
Licenses and regulates securities brokers and dealers, investment advisers and financial planners, somes 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.
- Delaware Securities Division
Unit of the Delaware Department of Justice and is charged by law with the regulation of the securities business in Delaware.
- Florida Department of Banking and Finance
The Division of Banking licenses, examines and regulates state-chartered financial institutions to protect from potential loss that may be caused by failure or insolvency.
- Georgia Department of Banking and Finance
State agency that regulates and examines banks, credit unions and trust companies which are chartered by the State, as well as mortgage brokers and lenders, check cashers, sale of check companies, international banking organizations, and bank holding companies conducting business in Georgia.
- Hawaii - Division of Financial Institutions
Part of the Department of Commerce and Consumer Affairs, it regulates and supervises all state-chartered and state-licensed financial institutions and escrow depositories.
- 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 Department of Professional and Financial Regulation
The Bureau of Financial Institutions was established in 1827 to supervise all financial institutions chartered by the State to promote safe and sound financial practices.
- 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 Division of Banks
Maintains a safe and sound, competitive banking and financial services environment throughout the Commonwealth.
- Massachusetts Securities Division
Divided into sub-divisions of: Enforcement; Corporate Finance; and Licensing and Registration.
- Michigan Insurance Bureau
State regulatory authority for the consumer affairs in Michigan.
- Minnesota Commerce Department (Financial Examinations Division)
Financial Examinations Division regulates state-chartered financial institutions and other financial services.
- Minnesota Commerce Department (Insurance)
Responsible for assuring that policyholders are protected against financially unsound insurance companies and from illegal, unfair and discriminatory 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.
- Missouri Division of Finance
Regulates all state chartered banks and trust companies, savings banks, savings and loan companies and various providers of consumer credit.
- 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 Department of Business and Industry
Oversees the Financial Institutions Division and the Division of Insurance.
- 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 of New York Banking Department
Primary regulator for state-licensed and state-chartered financial entities and other financial institutions operating in New York. The assets of these institutions total over $1.8 trillion.
- North Carolina - Office of the Commissioner of Banks
Together with the North Carolina Banking Commission, is responsible for the chartering and regulation of North Carolina's state banks and trust companies.
- 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.
- North Dakota Office of the Securities Commissioner
Mission is to strengthen the integrity of the marketplace for securities, franchises and commodities in North Dakota.
- Office of the Comptroller of the Currency
Charters, regulates,and supervises national banks to ensure a safe, sound and competitive banking system that supports the citizens, communities and economy of the United States
- 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.
- Ohio Division of Securities
Oversees the securities marketplace in Ohio.
- Oklahoma Securities Commission
The policy-making and governing authority of the Department of Securities.
- Oklahoma State Banking Department
Also regulates cemeteries.
- 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 Commerce and Regulation.
- 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 Financial Institutions
Has legal responsibility for assuring the Tennessee banking system runs on a safe and sound basis.
- 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.
- 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 Savings and Loan Department
Charged with adopting rules and determining general policies for the regulation of state savings banks and state savings and loan associations.
- 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.
- Utah Division of Securities
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.
- 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 DC - Department of Banking and Financial Institutions
Regulatory authority for financial institutions operating in the District of Columbia; charged with chartering and regulating banks, savings banks, trust companies and other financial institutions.
- Washington DC - Department of Insurance and Securities Regulation
Regulates the insurance and securities industries operating in and from the District of Columbia.
- Washington State Department of Financial Institutions
Includes the Banks Division, Consumer Services Division, Credit Unions Division and the Securities Division.
- West Virginia Division of Banking
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.
- West Virginia Securities Division
Enforces securities laws with emphasis on citizen protection.
- 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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