Securities and Charities | Securities

TO ALL BROKER-DEALERS REGISTERED IN MISSISSIPPI:  We do not require the filing of yearly financial results directly with the Division.

This division is responsible for regulating both the sale of securities and the securities professionals who sell them. In addition, the division 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.

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

Morgan Keegan Main Page


Forms pertaining to any of the services offered by the Securities Section can be found on the topic of page for that service. Links to some of the most common forms are included below.

Securities Forms

Surety Bond – 10K

Surety Bond – 30K

Registration by Qualification Form - Registration of Securities Pursuant to Mississippi Securities Act §75-71-304

Rule 703 – Exemption from Registration for Certain Offerings by Domestic Issuers

Investor Complaint Form

Resources

SCOR Resources

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