The goals of the Securities Division of the Office of the Secretary of State are to ensure the integrity of the securities marketplace through investigative actions as well as the registration and oversight of securities, securities brokers and dealers, investment advisors and their representatives; to enhance legitimate capital formation; and to minimize the burden and expense of regulatory compliance by legitimate businesses.

The Division reviews prospective offerings of securities to ascertain that full and fair disclosure is made to potential investors and that the terms of offerings are not inherently fraudulent.

The Division monitors the conduct of securities dealers and salespersons to ensure compliance with applicable state and federal laws; investigates possible violations; and, when the evidence warrants, initiates administrative or civil actions, or refers cases for criminal prosecution.

The Division is staffed with numerous investigators and other professionals who serve to protect Nevada investors.

Do you think you’re a victim of investment fraud?

File a complaint with our office. 

• File a Complaint- Online 

• File a Complaint- PDF Version

• Free investor education materials may be picked up from the Las Vegas Office of the Secretary of State (see below) or click on the PDF (InvestorGuide-Nevada_Interactive22)  for the Nevada Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud. 

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