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Indiana Securities Division

Securities Division > About the Division About the Division

The Indiana Securities Division regulates the securities industry in Indiana. The mission of the division is to encourage capital formation and business development in the Hoosier state by maintaining the integrity of the securities market.

The division protects investors and consumers by bringing civil and administrative actions against companies and individuals accused of violating the Indiana Uniform Securities Act. The division also refers criminal violations to prosecutors across Indiana through its Prosecution Assistance Unit (PAU).  Additionally, the division promotes informed investing, financial literacy and smart money management skills through its investor education program - Indiana Investment Watch.

The division also regulates:

  • the mortgage loan broker industry;
  • collection agencies;
  • franchisors; and
  • continuing care retirement communities.

Contact the Securities Division

Quick Links

 File a Securities Related Complaint  PAU Statistics
 Learn about the Ind. Securities Act  Learn about the Ind. Loan Brokers Act
 Prosecution Resource Fund  Securities Restitution Fund