The next division we are featuring in our learn more about DFI series is the Division of Securities.
DFI’s Division of Securities is responsible for regulating the securities industry in
state. The division licenses and regulates the professionals that sell investment products as well as register the investment offerings themselves. The mission statement of the Securities Division is "to protect the investing public and promote confidence in the capital markets." Washington
The Division of Securities is a member of the North American Securities Administrators Association, a group of
North America securities regulators. To learn more about NASAA, visit www.nasaa.org.
How the Division of Securities Can Assist You
If you are evaluating an investment opportunity you should contact the Division of Securities. The division can assist you with making sure that both the person selling the investment and the investment itself are registered with the State of
The Division of Securities also offers a number of free investor education materials and programs. Learn more about stocks, bonds, and mutual funds by ordering free copies of our investor education booklets. You can order the booklets at www.dfi.wa.gov/sd/investor_education.htm.
DFI also co-sponsors the Investor Education in Your Workplace initiative. The initiative brings investor education presentations to organizations and schools across the state. Learn more about the program at www.investorprotection.org/ipt-activities/?fa=ieiyc.
Fight against Investment Fraud
The division is active in the fight against investment fraud. DFI investigates fraud complaints and when the law has been broken, will take legal action.
Be sure to check out the division’s annual list of top investment traps. The list highlights scams and schemes that are targeting
residents. The list can be found at www.dfi.wa.gov/consumers/topscams.htm. Washington
For more information about the Division of Securities, visit www.dfi.wa.gov/sd.