TO ALL BROKER-DEALERS REGISTERED IN MISSISSIPPI: We do not require the filing of yearly financial statements directly with the Division.
NOTICE OF UPCOMING HEARINGS: None scheduled at this time.
The Securities Division is responsible for regulating both the sale of securities and the securities professionals who sell them. In addition, the Division works with federal and state prosecuting authorities to investigate and bring charges against violators of the State's securities laws. The Division carries out these functions under the authority granted to it by the Mississippi Securities Act.