Securities Division Overview & Services

Licensing and Registration
Nevada Securities Laws require that all persons who propose to act as broker-dealers, broker-dealer agents (sales representatives), investment advisers, investment adviser representatives or associated persons, issuers or associated persons, and certain non-exempt transfer agents be registered with the Securities Division prior to engaging in any securities-related business activities, unless exempt from registration. The Securities Division is responsible for all phases of licensing and registration, including the review and approval of applications for registration and proposed offerings of securities for sale in or from the State of Nevada.

Inspections
Compliance Investigators of the Securities Division are responsible for conducting periodic field inspections of broker-dealers and investment advisers registered with the State of Nevada to ensure that both the firm and its employees are in compliance with applicable state and federal laws. Inspections of books and records are used to determine whether there are any improprieties in the business conduct of the broker-dealers and investment advisers. The Division's Compliance Investigators have the authority and responsibility to refer any identified violations for possible administrative and/or civil action, and to obtain equitable remedies including the possible rescission of transactions and imposition of fines and/or penalties against the violators.

Investigations
Compliance and Criminal Investigators of the Securities Division conduct investigations into alleged violations of the Nevada Uniform Securities Act, which are brought to the Division's attention through proactive anti-fraud activities of the Division's investigators, or through complaints, inquiries, and information received from other agencies and sources. Most investigations by the Securities Division are prosecuted independently, but Investigators regularly cooperate with federal and local regulatory and law enforcement agencies.

The Securities Division has the authority to issue cease and desist orders to stop securities violations; to deny, suspend, or revoke a license; and may permanently bar individuals from participating in the securities industry. The Division may also refer violations to the appropriate agencies for criminal prosecution, such as the Office of the Attorney General or the District Attorney.

Investor Education
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. 

 Nevada Secretary of State, Las Vegas Office
 Securities Division

 1 State of Nevada Way, 3^rd Floor                                                                                                                                                   Las Vegas, Nevada 89119 

 (Please Note: some addresses may still read the former address as 1 Harrah's Way) 

 Phone: 702-486-2440                                                                                                                                                                       Fax: 702-486-2452                                                                                                                                                                     Email: nvsec@sos.nv.gov