The Indiana Secretary of State, Securities Division (“Division”) is responsible for regulating the securities industry in Indiana. The primary mission of the Division is investor protection. Consistent with that mission, the Division encourages capital formation and business development in the Hoosier state by maintaining the integrity of the securities market.

The Division protects investors by pursuing administrative, civil injunctive and criminal actions against companies and individuals accused of violating the Indiana Uniform Securities Act (“IUSA”). The Division reviews securities offerings, individuals and companies seeking to operate in Indiana for compliance with the IUSA. The Division assists law enforcement and prosecutors in Indiana with the criminal investigation and prosecution of securities-related violations through its Prosecution Assistance Unit (PAU).

In addition to its regulation of the IUSA, the Division is responsible for administering and enforcing the provisions of the following laws:

• Collection Agencies;
• Commodities;
• Continuing Care Retirement Communities;
• Franchises;
• Loan Brokers;
• Motor Clubs; and
• Takeover Offers.

The Division educates investors through the Indiana MoneyWise program. Indiana MoneyWise offers a number of free programs and tools to promote fraud prevention, informed investing, financial literacy and smart money management skills.