Securities Division – Boston, MA

Massachusetts Securities Division

The Securities Division, under the Office of the Secretary of the Commonwealth, is the state’s primary financial regulator designed to protect investors and ensure fair markets. Located in the McCormack Building at One Ashburton Place, the Division enforces the Massachusetts Uniform Securities Act. It plays a critical role in the state’s financial ecosystem by registering investment professionals, investigating securities fraud, and educating the public about smart investing.

Regulatory Functions

• Registration: Oversees the registration and licensing of broker-dealers, investment advisers, and their agents operating within Massachusetts.
• Enforcement: Investigates complaints regarding securities fraud, dishonest investment conduct, and high-pressure sales tactics.
• Corporate Finance: Reviews securities offerings to ensure full and fair disclosure to prospective investors.
• Investor Education: Provides free resources and programs to help citizens spot scams and make informed financial decisions.

Visiting the Office

The Securities Division is open to the public during standard business hours. Because it is located within a major state government facility, visitors must pass through security screening at the building’s entrance. While many filings and complaints can be submitted via their website, the office is available for in-person inquiries regarding registration status or disciplinary history of financial professionals.