Division of Corporations

Division of Corporations

The Department's Division of Corporations (DOC) provides consumer protections and licenses and regulates securities brokers and dealers, investment advisers and financial planners, consumer and commercial lenders including mortgage lenders, deferred deposit or payday lenders, escrow companies, and certain other fiduciaries. We also regulate the offer and sales of securities, franchises and off-exchange commodities.

The Financial Services Division is responsible for the regulation of lenders and certain fiduciaries.

The Securities Regulation Division (SRD) is responsible for the qualification of the offer and sale of securities and the licensing and regulation of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives pursuant to the Corporate Securities Law of 1968. SRD also registers the offer and sale of franchises under the Franchise Investment Law and Licenses capital access companies under the Capital Access Company Law.

The Enforcement Division is responsible for enforcing the laws under the Investment and Lender-Fiduciary Programs administered by the Department of Business Oversight.

Licensees and Industries Regulated by the Division