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Securities

The Securities Division administers the Securities Act through the regulation and oversight of registrants, securities issuers, and self-regulatory organizations. It reviews offering documents, continuous disclosure documents, and exemption applications to ensure these filings comply with securities laws.

This division reviews applications for registration from dealers and advisers who are in the business of trading or advising in securities. Compliance staff regularly conduct compliance reviews on the operations and practices of registered firms and the disclosure of issuers.  Staff participate on national committees respecting the development and drafting of securities laws and policies.