United States Regulators Finance

United States Regulators Finance

United States

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- Part of the Department of Labor, Licensing and Regulation.
- 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 c
- 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.
- Includes advice on risk in investing, and suggestions as to how to ascertain the value (if any) of old securities.
- 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.
- 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.
- State regulatory authority for the consumer affairs in Michigan.
- 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.
- Oversees the Financial Institutions Division and the Division of Insurance.
- Divided into the Enforcement Division, the Registration Division, the Inspections and Compliance Division, the General Counsel Division, and the Staff Services Division.
- Includes the Financial Institutions Division (which regulates banks and such-like entities), and the Securities Division (securities offerings and practices).
- Ensure the safety and soundness of state-chartered deposit-taking institutions.
- 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.
- With a division for Financial Institutions (including sections for Banks, Consumer Finance, Credit Unions, and Savings), and a division for 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 se
- 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.
- Also has jurisdiction over residential mortgage and consumer lending.
- 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.
- Includes the Insurance Division, the Securities Division and the Banking Division.
- Divided into sub-divisions of: Enforcement; Corporate Finance; and Licensing and Registration.
- 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.
- Includes detailed description of the operations of pedlers of duff micro stocks, and how to avoid them.
- Mission is to strengthen the integrity of the marketplace for securities, franchises and commodities in North Dakota.
- 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.
- Part of the Department of Consumer and Business Services.
- Oversees the securities marketplace in Ohio.
- 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 bus
- 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.
- Responsible for the regulation of state chartered commercial banks, trust companies, industrial banks, money order companies, money transmitters, and foreign capital depositories.
- Comprised of two divisions, Financial Institutions, and Bureau of Securities.
- 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 transm
- Part of the Alaska Department of Community and Economic Development. Maintains a stable financial network for financial services, and protects investors shareholders.
- Charters, licenses, and regulates financial providers in the state of Texas to ensure that Texas has a safe and sound financial services system.
- Also regulates cemeteries.
- Includes a correspondence on the legality of the "Automatic Overdraft Protection Program".
- Maintains a safe and sound, competitive banking and financial services environment throughout the Commonwealth.
- 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.
- 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
- Includes the Bureau of Financial Institutions (for state-chartered banks), Bureau of Insurance, and Division of Securities and Retail Franchising.
- Part of the Department of Commerce and Regulation.
- Department organized into three: Division of Financial Institutions; Division of Securities; and Division of Administrative Services.
- The policy-making and governing authority of the Department 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.
- Administers the Pennsylvania Securities Act of 1972. Investor information and Recent Enforcement Actions available.
- 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 comp
- Charged with adopting rules and determining general policies for the regulation of state savings banks and state savings and loan associations.
- 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.
- 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.
- Responsible for overseeing and coordinating the Texas Department of Banking, the Savings and Loan Department, and the Office of the Consumer Credit Commissioner.
- 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.
- Regulates state banks, trust companies, building and loan associations, mutual investment corporations, mutual savings corporations, banking institutions, and other financial corporations.
- Unit of the Delaware Department of Justice and is charged by law with the regulation of the securities business in Delaware.
- Regulates and assists individuals and entities under its jurisdiction and serves, protects and educates the public as users of financial services.
- Includes the Banks Division, Consumer Services Division, Credit Unions Division and the Securities Division.
- Regulates all state chartered banks and trust companies, savings banks, savings and loan companies and various providers of consumer credit.
- Ensures the safety and soundness of the financial institutions chartered under state authority and monitors the institutions' compliance with governing laws and regulations.
- Regulates public utilities, telecommunications companies, and insurance companies, and assures pipeline and fire safety and with the registration of corporations.
- Enforces regulations and licenses various financial activities, including depository, lending, collection and money transmission activities.
- Protects the public interest by securing the safety and soundness of banking and by promoting fair competition.
- Part of the Department of Commerce and Consumer Affairs, it regulates and supervises all state-chartered and state-licensed financial institutions and escrow depositories.
- Regulates the insurance and securities industries operating in and from the District of Columbia.
- Responsible for regulating the safety and soundness of California's state-chartered financial institutions.
- With sections for consumers, seniors, insurance, securities, and the land board.
- 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.
- Regulates the credit industry and educates consumers and creditors.
- Annual conference promoting state-chartered banking.
- Regulator of the banking, insurance and real estate industries in New Jersey.
- Includes the Board of Accountancy, the Division of Banking Regulation, the Division of Insurance Regulation, and the Division of Securities Regulation.
- Has legal responsibility for assuring the Tennessee banking system runs on a safe and sound basis.
- Regulates State-chartered banks and trust companies for safety and soundness and non-depository financial services licensees for compliance with applicable laws.
- Together with the North Carolina Banking Commission, is responsible for the chartering and regulation of North Carolina's state banks and trust companies.
- 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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