Oregon Divison of Finance and Corporate Securities

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					                                                                sTaTe securiTies adminisTraTors

  Each state has its own laws and regulations for securities brokers and securities including stocks,
  mutual funds, commodities, real estate, etc. The officials and agencies listed below enforce these
  laws	and	regulations.	 Many	of	these	offices	 can	also	provide	information	 to	help	you	make	informed
  investment decisions.
  If you have a question or complaint about an investment, call the company or bank involved. If you are
  not satisfied with the response you get, call your state securities agency. See the “Investing” section
  in Part I of this Handbook for additional advice and sources of assistance (p. 33).


Alabama                                  California                               District of Columbia
Securities Commission                    Dept. of Corporations                    Dept. of Insurance, Securities and
                                         Consumer Services Office




                                                                                                                                Automotive
770 Washington Ave ., Suite 570                                                   Banking
Montgomery, AL 36130-4700                1515 K St ., Suite 200                   810 First St ., NE, Suite 701
334-242-2984                             Sacramento, CA 95814                     ATTN: Consumer Proteection
Toll free: 1-800-222-1253 (AL)           916-327-7585                             Advocate
Fax: 334-242-0240                        Toll free: 1-866-275-2677                Washington, DC 20002




                                                                                                                                BBB
E-mail: asc@asc .alabama .gov            TTY: 1-800-735-2966                      202-727-8000
www.asc.state.al.us/                     Fax: 916-322-8864                        202-442-7843
                                         www.corp.ca.gov                          Fax: 202-535-1194
Alaska




                                                                                                                                Corporate Contacts
                                                                                  E-mail: disb@dc .gov
Division of Banking and                  Colorado                                 www.disb.dc.gov
Securities                               Division of Securities
Dept . of Commerce, Community            Dept . of Regulatory Agencies            Florida
and Economic Development                 1560 Broadway, Suite 900                 Division of Securities
PO Box 110807                            Denver, CO 80202                         Office of Financial Regulation
Juneau, AK 99811-0807                    303-894-2320                             ATTN: Securities Area Financial
907-465-2521                             TTY: 1-800-659-2656                      Manager




                                                                                                                                Federal Agencies
Toll free: 1-888-925-2521                Fax: 303-861-2126                        200 East Gaines St .
TTY: 907-465-5437                        E-mail: securities@dora .state .co .us   Tallahassee, FL 32399-0374
Fax: 907-465-2549                        www.dora.state.co.us/securities          850-410-9500
E-mail: dbsc@commerce .state .ak .us                                              Toll free: 1-800-848-3792
                                         Connecticut                              Fax: 850-410-9748
www.commerce.state.ak.us
                                         Dept. of Banking                         E-mail: ofr@flofr .com
Arizona                                  Securities and Business                  www.flofr.com
Arizona Corporation Commission           Investments Division




                                                                                                                                National Consumer
1300 W . Washington, 3rd Floor           260 Constitution Plaza                   Georgia
Phoenix, AZ 85007                        Hartford, CT 06103-1800                  Divison of Securities and
602-542-4242                             860-240-8230                             Business Regulation
Toll free: 1-866-837-4399                Toll free: 1-800-831-7225                Office of the Secretary of State
Fax: 602-594-7470                        Fax: 860-240-8295                        Suite 802, West Tower
E-mail: SecuritiesDiv@azcc .gov          E-mail: banking .complaints@ct .gov      2 Martin Luther King, Jr . Dr ., SE
www.azinvestor.gov                       www.ct.gov/dob                           Atlanta, GA 30334
                                                                                  404-656-3920                                  State & Local
Arkansas                                 Delaware                                 Toll free: 1-888-733-7427
Arkansas Securities Dept.                Division of Securities                   Fax: 404-657-8410
Heritage West Bldg ., Suite 300          Dept . of Justice                        E-mail: securities@sos .state .ga .us
201 East Markham                         State Office Building                    www.sos.ga.gov/securities
                                                                                                                                Trade & Professional




Little Rock, AR 72201-1692               820 North French St ., 5th Floor
501-324-9260                             Wilmington, DE 19801
Toll free: 1-800-981-4429                302-577-8424
Fax: 501-324-9268                        TTY: 302-577-5783
E-mail: info@securities .arkansas .gov   Fax: 302-856-5660
www.securities.arkansas.gov              www.state.de.us/securities
                                                                                                                                Index




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sTaTe securiTies adminisTraTors


Hawaii                                Kansas                                  Massachusetts
Securities Enforcement Branch         Office of the Securities                Securities Division
Business Registration Division        Commissioner                            Office of the Secretary of the
Dept . of Commerce and Consumer       618 South Kansas Ave .                  Commonwealth
Affairs                               2nd Floor                               One Ashburton Pl ., 17th Floor
PO Box 40                             Topeka, KS 66603-3804                   Room 1701
Honolulu, HI 96810                    785-296-3307                            Boston, MA 02108
808-586-2744                          Toll free: 1-800-232-9580               617-727-3548
Fax: 808-586-3977                     Fax: 785-296-6872                       Toll free: 1-800-269-5428
E-mail: seb@dcca .hawaii .gov         E-mail: ksc@ksc .ks .gov                TTY: 617-878-3889
www.hawaii.gov/dcca                   www.ksc.ks.gov                          Fax: 617-248-0177
                                                                              E-mail: securities@sec .state .ma .us
Idaho                                 Kentucky                                www.sec.state.ma.us/sct
Dept. of Finance                      Division of Securities
Securities Bureau                     Dept . of Financial Institutions        Michigan
PO Box 83720                          1025 Capitol Center Dr ., Suite 200     Securities Division
Boise, ID 83720-0031                  Frankfort, KY 40601-3868                Office of Financial and Insurance
208-332-8000                          502-573-3390                            Regulation
Toll free: 1-888-346-3378             Toll free: 1-800-223-2579               PO Box 30220
Fax: 208-332-8099                     Fax: 502-573-0086                       Lansing, MI 48909
E-mail: finance@finance .idaho .gov   E-mail: kfi@ky .gov                     517-373-0220
finance.idaho.gov                     www.kfi.ky.gov                          Toll free: 1-877-999-6442
                                                                              Fax: 517-241-6356
Illinois                              Louisiana                               E-mail: ofis-sec-info@michigan .gov
Securities Dept.                      Securities Division                     www.michigan.gov/ofis
Secretary of State                    Office of Financial Institutions
300 W . Jefferson St, Suite 300A      8660 United Plaza Blvd ., 2nd Floor     Minnesota
Springfield, IL 62702                 Baton Rouge, LA 70809                   Dept. of Commerce
217-782-2256                          225-925-4660                            Market Assurance Division
Toll free: 1-800-628-7937             Fax: 225-925-4511                       85 Seventh Place E ., Suite 500
Fax: 217-782-8876                     www.ofi.state.la.us                     St . Paul, MN 55101
www.sos.state.il.us                                                           651-296-4973
                                      Maine                                   651-296-2488
Indiana                               Office of Securities                    Toll free: 1-800-657-3602
Securities Division                   121 State House Station                 TTY: 651-296-2860
Office of the Secretary of State      Augusta, ME 04333-0121                  Fax: 651-296-4328
302 W . Washington, Room E-111        207-624-8551                            E-mail: securities .commerce@state .
Indianapolis, IN 46204                Toll free: 1-877-624-8551               mn .us
317-232-6681                          TTY: 207-624-8563                       www.commerce.state.mn.us
Toll free: 1-800-223-8791             Fax: 207-624-8590
Fax: 317-233-3675                     www.maine.gov/securities                Mississippi
www.state.in.us/sos/securities                                                Securities Division
                                      Maryland                                Business Regulation and
Iowa                                  Securities Division                     Enforcement
Securities and Regulated              Office of the Attorney General          Secretary of State’s Office
Industries Bureau                     200 Saint Paul Pl .                     PO Box 136
340 Maple St .                        Baltimore, MD 21202-2020                Jackson, MS 39205
Des Moines, IA 50319-0066             410-576-6360                            601-359-1350
515-281-4441                          Toll free: 1-888-743-0023               Toll free: 1-800-804-6364
Toll free: 1-877-955-1212             TTY: 410-576-6372                       Fax: 601-359-1499
Fax: 515-281-6467                     Fax: 410-576-6532                       www.sos.state.ms.us
E-mail: iowasec@iid .state .ia .us    E-mail: securities@oag .state .md .us
www.iid.state.ia.us                   www.oag.state.md.us




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                                                          sTaTe securiTies adminisTraTors


Missouri                           New Jersey                            Ohio
Commissioner of Securities         Dept. of Law and Public Safety        Division of Securities
PO Box 1276                        PO Box 47029                          77 South High St .
Jefferson City, MO 65102           Newark, NJ 07101                      22nd Floor
573-751-4136                       973-504-3600                          Columbus, OH 43215-6131
Toll free: 1-800-721-7996          Toll free: 1-866-446-8378             614-644-7381
Fax: 573-526-3124                  Fax: 973-504-3601                     614-466-6140 (Enforcement)
E-mail: securities@sos .mo .gov    E-mail: Askbureauofsecurities@dca .   Toll free: 1-800-788-1194 (Investor
www.sos.mo.gov                     lps .state .nj .us                    Protection Hotline)
                                   www.njsecurities.gov                  Fax: 614-466-3316
Montana                                                                  E-mail: securitiesgeneral .
Securities Division                New Mexico                            questions@com .state .oh .us




                                                                                                                     Automotive
840 Helena Ave .                   Regulation & Licensing Dept.          www. com.ohio.gov/secu
Helena, MT 59601                   2550 Cerrillos Rd ., 3rd Floor
406-444-2040                       Santa Fe, NM 87505                    Oklahoma
Toll free: 1-800-332-6148          505-476-4580                          Dept. of Securities
Fax: 406-444-5558                  Toll free: 1-800-704-5533             First National Center




                                                                                                                     BBB
E-mail: stateauditor@mt .gov       Fax: 505-984-0617                     120 North Robinson, Suite 860
www.sao.mt.gov                     www.rld.state.nm.us/securities        Oklahoma City, OK 73102
                                                                         405-280-7700




                                                                                                                     Corporate Contacts
Nebraska                           New York                              Fax: 405-280-7742
Dept. of Banking & Finance         Investor Protection Bureau            E-mail: general@securities .state .
PO Box 95006                       Office of the Attorney General        ok .gov
Lincoln, NE 68509-5006             120 Broadway, 23rd Floor              www.securities.ok.gov
402-471-3445                       New York, NY 10271
Toll free: 1-877-471-3445          212-416-8222                          Oregon
Fax: 402-471-3062                  Fax: 212-416-8816                     Division of Finance and Corporate
www.ndbf.org                       www.oag.state.ny.us                   Securities




                                                                                                                     Federal Agencies
                                                                         Dept . of Consumer & Business
Nevada                             North Carolina                        Services
Securities Division                Securities Division                   PO Box 14480
Office of the Secretary of State   PO Box 29622                          Salem, OR 97309-0405
555 East Washington Ave .          Raleigh, NC 27626-0622                503-378-4140
Suite 5200                         919-733-3924                          503-378-4387
Las Vegas, NV 89101                Toll free: 1-800-688-4507 (Investor   Toll free: 1-866-814-9710




                                                                                                                     National Consumer
702-486-2440                       Hotline)                              TTY: 503-378-4100
Fax: 702-486-2452                  Fax: 919-821-0818                     Fax: 503-947-7862
E-mail: nvsec@sos .nv .gov         www.sosnc.com                         E-mail: dcbs .dfcsmail@state .or .us
www.sos.state.nv.us                                                      www.dfcs.oregon.gov
                                   North Dakota
New Hampshire                      Securities Dept.                      Pennsylvania
Bureau of Securities Regulation    State Capitol, 5th Floor              Securities Commission
107 N . Main St ., #204            600 E . Boulevard Ave .               Office of the Secretary
Concord, NH 03301                  Bismarck, ND 58505-0510               Eastgate Office Building, 2nd Floor         State & Local
603-271-1463                       701-328-2910                          1010 North Seventh St .
Fax: 603-271-7933                  Toll free: 1-800-297-5124             Harrisburg, PA 17102-1410
www.sos.nh.gov/securities          Fax: 701-328-2946                     717-787-8061
                                   E-mail: ndsecurities@nd .gov          Toll free: 1-800-600-0007
                                                                                                                     Trade & Professional




                                   www.ndsecurities.com                  Fax: 717-783-5122
                                                                         E-mail: pscwebmaster@state .pa .us
                                                                         www.psc.state.pa.us
                                                                                                                     Index




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sTaTe securiTies adminisTraTors


Puerto Rico                              Texas                                 West Virginia
Office of the Commissioner of            State Securities Board                Securities Commission
Financial Institutions                   PO Box 13167                          State Auditor’s Office
PO Box 11855                             Austin, TX 78711-3167                 200 W . Main St .
San Juan, PR 00910-3855                  512-305-8300                          Clarksburg, WV 26301
787-723-3131                             Fax: 512-305-8310                     304-627-2415
Fax: 787-723-4042                        www.ssb.state.tx.us                   Toll free: 1-888-368-9507 (Check
www.cif.gov.pr                                                                 Registration & Background)
                                         Utah                                  Toll free: 1-888-509-6567
Rhode Island                             Dept. of Commerce                     (Enforcement)
Securities Division                      PO Box 146760                         Fax: 304-627-2417
Dept . of Business Regulation            Salt Lake City, UT 84114-6760         E-mail: securities@wvsao .gov
1511 Pontiac Ave .                       801-530-6600                          www.wvsao.gov/
Cranston, RI 02920                       Toll free: 1-800-721-7233             securitiescommission
401-462-9527                             Fax: 801-530-6980
TTY: 711                                 E-mail: security@utah .gov            Wisconsin
Fax: 401-462-9645                        www.securities.utah.gov               Division of Securities
E-mail: SecuritiesInquiry@dbr .state .                                         Dept . of Financial Institutions
ri .us                                   Vermont                               PO Box 1768, 4th Floor
                                         Dept . of Banking, Insurance,
www.dbr.state.ri.us                                                            Madison, WI 53701-1768
                                         Securities, & Health Care
                                                                               608-266-1064
South Carolina                           Administration
                                                                               Toll free: 1-800-472-4325
Securities Division                      89 Main St .
                                                                               TTY: 608-266-8818
Office of the Attorney General           Montpelier, VT 05620-3101
                                                                               Fax: 608-264-7979
PO Box 11549                             802-828-3420
                                                                               www.wdfi.org
Columbia, SC 29211-1549                  Toll free: 1-877-550-3907
803-734-9916 (Securities)                Fax: 802-828-2896                     Wyoming
803-734-3970 (Attorney General)          www.vermontsecurities.info            Compliance Division
Fax: 803-734-3677                        Virginia                              Office of the Secretary of State
www.scattorneygeneral.com/                                                     State Capitol Bldg .
                                         Division of Securities and Retail
securities                                                                     200 West 24th St .
                                         Franchising
                                                                               Cheyenne, WY 82002-0020
South Dakota                             State Corporation Commission
                                                                               307-777-7370
Division of Securities                   PO Box 1197
                                                                               Fax: 307-777-7640
445 East Capitol Ave .                   Richmond, VA 23218
                                                                               E-mail: compliance@state .wy .us
Pierre, SD 57501-3185                    804-371-9187
                                                                               soswy.state.wy.us
605-773-4823                             804-371-9967
Fax: 605-773-5953                        Toll free: 1-800-552-7945
E-mail: drr .securities@state .sd .us    TTY: 804-371-9206
www.state.sd.us/dcr/securities           Fax: 804-371-9911
                                         E-mail: SRF_General@scc .virginia .
Tennessee                                gov
Dept. of Commerce and Insurance          www.scc.virginia.gov/srf
Davy Crockett Tower                      Washington
500 James Robertson Pkwy .,
Suite 680                                Division of Securities
Nashville, TN 37243                      Dept . of Financial Institutions
615-741-2241                             PO Box 41200
Toll free: 1-800-863-9117                Olympia, WA 98504-1200
Fax: 615-532-8375                        360-902-8760
E-mail: Securities .1@tn .gov            Toll free: 1-877-746-4334
www.state.tn.us/commerce/                TTY: 360-664-8126
securities                               Fax: 360-902-0524
                                         E-mail: investorcomplaints@dfi .
                                         wa .gov
                                         www.dfi.wa.gov

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