Investor Protection & Securities

 


For more than 90 years, the Secretary of State has been responsible for ensuring compliance with state securities laws through activities of the Securities Division. The Secretary of State appoints the Commissioner of Securities who administers these laws and oversees the Securities Division whose focus is on investor protection. The Securities Division seeks to protect Missouri investors from fraud through the enforcement of the securities laws with an emphasis on restitution for investors.

The Securities Division is organized into three sections: Investor Education, seeking to prevent and reduce investor harm by educating investors about the risks of investing, which includes the Vulnerable Citizens Services Unit (VCSU). Registration, seeking to ensure that investment professionals are qualified and compliant with securities laws and regulations and fostering capital formation through the review of securities offerings; and Enforcement, receiving complaints, tips, and referrals, conducting investigations and initiating actions to remedy violations.  The Securities Division seeks to serve all Missourians from investors to investment professionals.

Before investing, to make general inquires or to report suspected abuse, call our toll-free Investor Protection Hotline at 1-800-721-7996 or the Vulnerable Citizens Services Unit Hotline at 1-855-653-7300.

 

 

Missouri State Library