Securities Division
This division registers securities offerings for sale to the public and licenses broker-dealers, agents, and investment advisers. Working in close cooperation with the National Association of Securities Dealers and the United States Securities and Exchange Commission, this section also investigates and originates enforcement actions regarding unfair practices, complaints, and violations of law regarding a variety of securities activities.
Final Rules
Compensatory Benefit Plan Exemption
Third-Party Solicitor Exemption
Effective Oct. 20, 2008Lehman Brothers, Inc. Broker-Dealer Firm may be acquired
by Barclays Capital, Inc.
Hanover Investment Securities Placed into Liquidation
Cease
and Desist Order against
Matthew Pizzolato
and Gulf Region Guaranty Recalled