About the Division
The Indiana Securities Division regulates the securities industry in Indiana. The mission of the division is to encourage capital formation and business development in the Hoosier state by maintaining the integrity of the securities market.
The division protects investors and consumers by bringing civil and administrative actions against companies and individuals accused of violating the Indiana Uniform Securities Act. The division also refers criminal violations to prosecutors across Indiana through its Prosecution Assistance Unit (PAU). Additionally, the division promotes informed investing, financial literacy and smart money management skills through its investor education program - Indiana Investment Watch.
The division also regulates:
- the mortgage loan broker industry;
- collection agencies;
- franchisors; and
- continuing care retirement communities.
Contact the Securities Division
Quick Links
File a Securities Related Complaint PAU Statistics Learn about the Ind. Securities Act Learn about the Ind. Loan Brokers Act Prosecution Resource Fund Securities Restitution Fund
- File a securities complaint.
- Search the securities registration database.
- Get information about investing.
- Learn more about the Prosecutors Assistance Unit.
- Find information about current laws and regulations.
- Download resources on investing.
- Check the calendar for upcoming events.
- Search the background of my investment professional.
