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.
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