Securities Division
The Secretary of State, through the Securities Division, is responsible for protecting Missouri investors from fraud and for ensuring that firms and individuals that sell securities comply with the securities laws in the state. The division enforces the Missouri Uniform Securities Act, also known as the "Blue Sky Law." The division is organized into three sections: investor education, enforcement, and registration.
Call our toll-free investor hotline at 800-721-7996 to report complaints or make inquiries about broker-dealers, agents, investment advisers, investment adviser representatives, or general securities violations.
What is a Security?
Stocks and bonds, limited partnerships in real estate, oil and gas offerings, investment contracts, or an investment in a common enterprise with an expectation of profit to be derived from the significant managerial efforts of others are securities.
Almost any sort of profit-making venture that depends on the efforts of the seller to realize a profit could be a security and may need to be registered with the division, exempt from such registration, or a security that is a federal covered security.
Securities News
In The Spotlight
The Commissioner of Securities has issued an advisory release concerning real estate transactions involving promissory notes. Read the advisory release here.
Check out the Missouri Investor Protection Center (MIPC).
Play our Investment Scam Game to see if you can avoid being a victim of securities fraud.
Capital is critical to the survival and growth of business, especially small business. Here are Nine Tips for Raising Capital in Missouri.
Check out our publications for investors that help investors protect themselves against fraudulent investment schemes, including our new comprehensive investment guide.
Access the Securities Division's most recent advisory releases.
File a complaint with the Securities Division.