State proceedings

The Mississippi Secretary of State’s Securities Division is responsible for regulating both the sale of securities and the securities professionals who sell them.  In addition, the Securities Division works with the attorney general who is authorized to investigate and bring charges against violators of the State’s securities laws.  The Securities Division carries out these functions under the authority granted to it by the Mississippi Securities Act.

The Securities Division is assisting the Receiver in her efforts to recover money and assets for the benefit of defrauded investors.