State Securities

Vermont Securities Enforcement and Consent Orders

The Vermont Department of Financial Regulation has published a list of recent securities enforcement and consent orders. These orders involve various financial advisory firms and broker-dealers, detailing stipulations and agreements related to their operations within the state.

Vermont Securities Regulations

The Vermont Department of Financial Regulation has updated its securities regulations. This revision pertains to Regulation S-2016-01, with a revised effective date of December 16, 2021.

Missouri Securities Administrative Orders

The Missouri Securities Division has updated its list of administrative orders. This includes rescinding an order related to investment adviser examination requirements and waiving examination requirements for certain broker-dealer agents and investment advisers. Several orders for payment from the Investor Restitution Fund are also listed.

Missouri Securities Division Consent Orders Index

The Missouri Securities Division has published an index of recent consent orders and other enforcement actions. These orders involve various financial firms and individuals, with dates signed ranging from July 2024 to January 2026. The index provides case numbers and links to official copies of the orders.

Missouri Securities Enforcement Orders and News

The Missouri Secretary of State's Securities Division has updated its website to provide access to recent enforcement orders and news. This update aims to enhance investor protection by offering a centralized location for relevant information from the Enforcement Section.

Utah Securities Fraud Convictions and Warnings

The Utah Division of Securities is issuing warnings and highlighting recent enforcement actions related to securities fraud. Recent updates include investor alerts about BG Wealth Sharing LTD, a sentencing for a multi-million dollar securities fraud scheme, and a final judgment against a precious metals firm.

Utah Securities Enforcement FAQs

The Utah Division of Securities has published an FAQ addressing common questions regarding its enforcement processes. The FAQs cover investigation timelines, complaint filing procedures, restitution, and the possibility of testifying in court.

Maine Securities Enforcement Administrative Orders

The State of Maine's Office of Securities Enforcement has published a list of administrative orders issued against various financial entities and individuals. These orders represent enforcement actions taken by the state regulator concerning securities and investment activities within Maine.

Maine Securities Consent Agreements and Enforcement Actions

The Maine Office of Securities has published a list of recent consent agreements and enforcement actions against financial firms and individuals. These agreements represent voluntary settlements of potential violations of securities laws.

Maine Securities Enforcement Actions and Administrative Orders

The Maine Office of Securities and Investment Regulation provides a list of its administrative orders and enforcement actions. This page serves as a central repository for these documents, including orders related to broker-dealer inspections and exemptions for private fund advisors.