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Massachusetts Division of Banks
Maintains a safe and sound, competitive banking and financial services environment throughout the Commonwealth. Housed under Consumer Affairs and Business Regulation.
http://www.mass.gov/?pageID=ocaagencylandi...
District of Columbia Department of Banking and Financial Institutions
Regulatory authority for financial institutions operating in the District; charged with chartering and regulating banks, savings banks, trust companies and other financial institutions.
http://www.obfi.dcgov.org/
Office of the State Bank Commissioner
Serves the public interest by regulating depository institutions for safety and soundness and non-depository institutions for compliance with state and federal laws and regulations.
http://www.state.de.us/bank/
Maryland Division of Financial Regulation
Part of the Department of Labor, Licensing and Regulation.
http://www.dllr.state.md.us/finance/
Kentucky - Department of Financial Institutions
Department organized into three: Division of Financial Institutions; Division of Securities; and Division of Administrative Services.
http://www.dfi.state.ky.us/
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.
http://finance.state.id.us/
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.
http://audit.state.wy.us/banking/
Arkansas State Bank Department
Charged with regulating the safety and soundness of state financial institutions. Includes laws, links to financial institutions, and reports.
http://www.state.ar.us/bank/banking1.html
New Hampshire Banking Department
Protects the public interest by securing the safety and soundness of banking and by promoting fair competition.
http://www.state.nh.us/banking/
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.
http://www.state.tn.us/financialinst/
West Virginia Securities Division
Enforces securities laws with emphasis on citizen protection.
http://www.wvauditor.com/securities/securi...
Nevada Financial Institutions Division
Enforces regulations and licenses various financial activities, including depository, lending, collection and money transmission activities.
http://fid.state.nv.us/
Connecticut Department of Banking
Regulates Connecticut banks and credit unions, consumer credit providers and the securities industry.
http://www.ct.gov/dob/site/
Texas State Securities Board
Securities regulation and enforcement, with news, information for dealers, investment advisers, and consumer tips.
http://www.ssb.state.tx.us/
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.
http://www.corp.ca.gov/
Office of Financial Institutions
Responsible for the supervision of various entities which provide financial services to the citizens of the State of Louisiana. Includes- Depository Institutions Division, the Non-Depository Services Division, and the Securities Division.
http://www.ofi.state.la.us/
Office of Banks and Real Estate
Is to protect the public and promote confidence in the regulated industries through administration of statutory responsibilities in an efficient, professional, and responsive manner.
http://www.obre.state.il.us/
Oklahoma State Banking Department
regulates state-chartered banks, credit unions, savings and loans, and trust companies, as well as cemeteries and money order companies.
http://www.state.ok.us/~osbd/
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.
http://www.securities.state.ut.us/
Indiana Department of Financial Institutions
Includes a correspondence on the legality of the "Automatic Overdraft Protection Program".
http://www.dfi.state.in.us/
Pennsylvania Securities Commission
Administers the Pennsylvania Securities Act of 1972. Investor information and Recent Enforcement Actions available.
http://www.psc.state.pa.us/
Vermont Department of Banking, Insurance, Securities and Health Care Administration
Includes the Insurance Division, the Securities Division and the Banking Division.
http://www.bishca.state.vt.us/
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.
http://www.ccsd.cc.state.az.us/
Conference of State Bank Supervisors
Annual conference promoting state-chartered banking.
http://www.csbs.org/
Washington State Department of Financial Institutions
Includes the Banks Division, Consumer Services Division, Credit Unions Division and the Securities Division.
http://www.dfi.wa.gov/
Oregon Division of Finance and Corporate Securities
Part of the Department of Consumer and Business Services.
http://www.cbs.state.or.us/external/dfcs/
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.
http://www.wvdob.org/
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.
http://www.state.tn.us/commerce/
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.
http://www.idob.state.ia.us/
Missouri Division of Finance
Regulates all state chartered banks and trust companies, savings banks, savings and loan companies and various providers of consumer credit.
http://www.missouri-finance.org/
Georgia Department of Banking and Finance
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.
http://www.state.ga.us/dbf/
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.
http://www.banking.state.tx.us/
Ohio Department of Commerce
One of the state's chief regulatory agencies whose mission is to be a national leader of fair, efficient and consistent regulation, establishing Ohio as the premier place to live and conduct business.
http://www.com.state.oh.us/
Montana - State Auditor and Commissioner of Insurance and Securities
With sections for consumers, seniors, insurance, securities, and the land board.
http://www.state.mt.us/sao/
Department of Banking
Includes industry and consumer services, regulatory information, and department news.
http://www.banking.state.ny.us/
Pennsylvania Department of Banking
Ensure the safety and soundness of state-chartered deposit-taking institutions.
http://www.banking.state.pa.us/
North Dakota Office of the Securities Commissioner
Mission is to strengthen the integrity of the marketplace for securities, franchises and commodities in North Dakota.
http://www.state.nd.us/securities/
South Dakota - Division of Banking
Part of the Department of Commerce and Regulation.
http://www.state.sd.us/banking/
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.
http://www.azbanking.com/
New Mexico Regulation and Licensing Department
Home to the divisions of Alcohol and Gaming, Boards and Commissions, Construction Industries, Financial Institutions, Manufactured Housing, and Securities.
http://www.rld.state.nm.us/
North Dakota Department of Banking and Financial Institutions
Details the laws and regulations for banks, trust companies, investment firms, and financial entities doing business in the state.
http://www.state.nd.us/dfi/
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.
http://www.state.me.us/pfr/sec/sec_index.h...
New Jersey Department of Banking and Insurance (DOBI)
State regulator of the banking, insurance, and real estate industries. Convenient sections for consumers, insurance industry, banking industry, etc.
http://www.state.nj.us/dobi/
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.
http://www.dced.state.ak.us/bsc/
Minnesota Department of Commerce
Responsibilities include insuring the financial soundness of financial and insurance companies and preventing unfair business practices.
http://www.state.mn.us/portal/mn/jsp/home....
Oklahoma Department of Securities
receives and processes applications for registration or exemption of securities, business opportunities, takeovers and subdivided land and applications for licensing of broker-dealers, agents, investment advisers, and investment adviser representatives.
http://www.securities.state.ok.us/
Nevada Department of Business and Industry
Oversees the Financial Institutions Division and the Division of Insurance.
http://dbi.state.nv.us/
Indiana Securities Division
Includes detailed description of the operations of pedlers of duff micro stocks, and how to avoid them.
http://www.state.in.us/sos/securities/
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.
http://www.state.hi.us/dcca/dfi/
Ohio Division of Securities
Oversees the securities marketplace in Ohio.
http://www.securities.state.oh.us/
Utah Department of Financial Institutions
Also has jurisdiction over residential mortgage and consumer lending.
http://www.dfi.state.ut.us/
New Mexico Public Regulation Commission
The New Mexico Public Regulation Commission was created by the voters in 1996. The constitutional amendment abolished the Public Utility Commission and the State Corporation Commission and merged their duties in the new NMPRC.
http://www.nmprc.state.nm.us/
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.
http://www.state.sd.us/dcr/securities/
Department of Insurance, Securities and Banking
Regulates financial service firms. Includes forms, licensing information, consumer information and regulatory texts.
http://disr.dc.gov/
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.
http://www.dbcf.state.ms.us/
Office of Consumer Credit Commissioner
Regulates the credit industry and educates consumers and creditors. News, brochures for consumers, speakers, statutes and rules, and agency contact information.
http://www.occc.state.tx.us/
Rhode Island Department of Business Regulation
Implements and enforces of state laws mandating regulation and licensing of designated businesses, professions, occupations, and other specific activities.
http://www.dbr.state.ri.us/
Nebraska Department of Banking and Finance
Comprised of two divisions, Financial Institutions, and Bureau of Securities.
http://www.ndbf.org/
Virginia State Corporation Commission
Information about the commission, consumer information, case information, news, divisions, utility restructuring, and available jobs.
http://www.scc.virginia.gov/
Texas Savings and Loan Department
State agency that regulates mortgage brokers, state-chartered banks, and savings and loans.
http://www.tsld.state.tx.us/
Department of Financial Institutions
Responsible for the regulation and licensing of state-charted banks and savings institutions, mortgage bankers/brokers, the securities industry, and other licensed financial service providers.
http://www.wdfi.org/
Finance Commission of Texas
Oversight body for regulators of banks, savings institutions, and credit grantors. Includes reports and studies, relevant legislation, and commissioner and staff contact information.
http://www.fc.state.tx.us/
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.
http://www.securities.state.ks.us/
California - Department of Financial Institutions
Responsible for regulating the safety and soundness of California's state-chartered financial institutions.
http://www.dfi.ca.gov
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.
http://www.dora.state.co.us/banking/
Delaware Securities Division
Unit of the Delaware Department of Justice and is charged by law with the regulation of the securities business in Delaware.
http://www.state.de.us/securities/
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.
http://www.dora.state.co.us/securities/
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.
http://www.osbckansas.org/
Massachusetts Securities Division
Divided into sub-divisions of: Enforcement; Corporate Finance; and Licensing and Registration.
http://www.state.ma.us/sec/sct/
Michigan Department of Labor and Economic Growth
State organization that includes regulatory authorities for consumer affairs and other functions.
http://www.michigan.gov/cis/
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2006