Securities Home Page

This section, part of the Enforcement/Regulation unit, is responsible for regulating both the sale of securities and the securities professionals who sell them.  In addition, the unit is charged with the task of working with federal and state prosecuting authorities to investigate and criminally punish violators of the state's securities laws.  The division carries out these functions under the authority granted to it by the Mississippi Code Annotated, 75-71-101 et seq. (1972).

To file an investor complaint concerning a securities offering or professional, please go to the Forms section of our page and download the Investor Complaint Form.

Securities Links
	Download the Investor Complaint Form
	How to Contact the Securities Unit
	Mississippi Securities Act Online
	Mississippi Securities Act Rules Online
	Securities Policy Statements
	Securities Fee Schedule
	Other Links of Interest
	Filings Search
	Investigate Before You Invest
	Scams: What You Need to Know
	Selecting a Financial Planner, Investment Advisor or Stockbroker

Securities Investigators:  1-800-804-6364