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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 MoneyWise.

The Division also regulates:

  • Mortgage Loan Brokers;
  • Collection Agencies;
  • Franchisors; and
  • Continuing Care Retirement Communities.

Contact the Securities Division