Government institutions, at the federal and state levels, whose responsibilities include regulation of banking, mortgages, securities, savings, pensions, and other financial services.
Subcategories 9
Related categories 3
Sites 52
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- New Mexico Public Regulation Commission Regulates public utilities, telecommunications companies, and insurance companies, and assures pipeline and fire safety and with the registration of corporations.
- Virginia - State Corporation Commission Includes the Bureau of Financial Institutions (for state-chartered banks), Bureau of Insurance, and Division of Securities and Retail Franchising.
- Louisiana - Office of Financial Institutions 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.
- Idaho - Department of Finance 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 transmitters, cemeteries and issuers of securities.
- Rhode Island Department of Business Regulation Includes the Board of Accountancy, the Division of Banking Regulation, the Division of Insurance Regulation, and the Division of Securities Regulation.
- New Mexico - Regulation and Licensing Department Includes the Financial Institutions Division (which regulates banks and such-like entities), and the Securities Division (securities offerings and practices).
- Arizona Department of Financial Institutions Regulates and supervises the financial institutions and enterprises of Arizona.
- Ohio Department of Commerce With a division for Financial Institutions (including sections for Banks, Consumer Finance, Credit Unions, and Savings), and a division for Securities.
- Mississippi - Department of Banking and Consumer Finance Ensures the safety and soundness of the financial institutions chartered under state authority and monitors the institutions' compliance with governing laws and regulations.
- North Dakota - Department of Financial Institutions Regulates state banks, trust companies, building and loan associations, mutual investment corporations, mutual savings corporations, banking institutions, and other financial corporations.
- Delaware - Office of the State Bank Commissioner Regulates State-chartered banks and trust companies for safety and soundness and non-depository financial services licensees for compliance with applicable laws.
- Oklahoma Department of Securities Oversees registration of securities, business opportunities, takeovers, offerings of subdivided land, broker-dealers, and investment advisers.
- Iowa Division of Banking 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.
- Wisconsin Department of Financial Institutions 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 business record-keeping system.
- Connecticut Department of Banking Regulates and assists individuals and entities under its jurisdiction and serves, protects and educates the public as users of financial services.
- Kentucky - Department of Financial Institutions Department organized into three: Division of Financial Institutions; Division of Securities; and Division of Administrative Services.
- Indiana Department of Financial Institutions Includes a correspondence on the legality of the "Automatic Overdraft Protection Program".
- Conference of State Bank Supervisors Annual conference promoting state-chartered banking.
- Washington State Department of Financial Institutions Includes the Banks Division, Consumer Services Division, Credit Unions Division and the Securities Division.
- Pennsylvania Department of Banking Ensure the safety and soundness of state-chartered deposit-taking institutions.
- Tennessee Department of Commerce and Insurance 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.
- Oregon Division of Finance and Corporate Securities Part of the Department of Consumer and Business Services.
- New Jersey Department of Banking and Insurance Regulator of the banking, insurance and real estate industries in New Jersey.
- Nevada Financial Institutions Division Enforces regulations and licenses various financial activities, including depository, lending, collection and money transmission activities.
- Colorado Department of Regulatory Agencies (Division of Banking) Responsible for the regulation of state chartered commercial banks, trust companies, industrial banks, money order companies, money transmitters, and foreign capital depositories.
- Colorado Department of Regulatory Agencies (Division 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.
- Maryland Division of Financial Regulation Part of the Department of Labor, Licensing and Regulation.
- Kansas - Office of the Kansas Securities Commissioner 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.
- Kansas - Office of the State Bank Commissioner 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.
- American Association of Residential Mortgage Regulators Promoting information exchange between those who regulate residential mortgage lending, servicing and brokering.
- Indiana Securities Division Includes detailed description of the operations of pedlers of duff micro stocks, and how to avoid them.
- New Hampshire Banking Department Protects the public interest by securing the safety and soundness of banking and by promoting fair competition.
- Arizona Corporation Commission (Securities Division) Includes advice on risk in investing, and suggestions as to how to ascertain the value (if any) of old securities.
- Massachusetts Securities Division Divided into sub-divisions of: Enforcement; Corporate Finance; and Licensing and Registration.
- Montana - State Auditor and Commissioner of Insurance and Securities With sections for consumers, seniors, insurance, securities, and the land board.
- Nebraska Department of Banking and Finance Comprised of two divisions, Financial Institutions, and Bureau of Securities.
- Tennessee Department of Financial Institutions Has legal responsibility for assuring the system of state-chartered banks, credit unions, and other financial institutions runs on a safe and sound basis.
- Arkansas State Bank Department 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.
- Texas Department of Banking Charters, licenses, and regulates financial providers in the state of Texas to ensure that Texas has a safe and sound financial services system.
- New York State Department of Financial Services Primary regulator for state-licensed and state-chartered financial entities and other financial institutions operating in New York.
- Wyoming Department of Audit, Division of Banking 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.
- North Dakota Securities Department Mission is to strengthen the integrity of the marketplace for securities, franchises and commodities in North Dakota.
- Maine State Office of 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 seeking to sell in Maine.
- West Virginia Division of Financial Institutions 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.
- South Dakota - Division of Banking Part of the Department of Labor.
- Minnesota Department of Commerce Responsibilities include insuring the financial soundness of financial and insurance companies and preventing unfair business practices.
- Vermont Department of Financial Regulation Includes the Insurance Division, the Securities Division and the Banking Division.
- Pennsylvania Department of Banking and Securities Administers the Pennsylvania Securities Act of 1972. Investor information and Recent Enforcement Actions available.
- Texas - Office of Consumer Credit Commissioner Regulates the credit industry and educates consumers and creditors.
- Illinois Division of Banking 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.
- Texas State Securities Board Divided into the Enforcement Division, the Registration Division, the Inspections and Compliance Division, the General Counsel Division, and the Staff Services Division.
- South Dakota - Division of Securities 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.