Investments / Securities
The California Department of Business Oversight regulates securities brokers and agents, investment advisers and financial planners. The department also regulates finance lenders and brokers offering personal and commercial loans, consumer credit counselors, mortgage lenders and servicers and escrow agents. Certain business and investment transactions are overseen by the Department of Business Oversight, such as the offer and sale of certain securities and investment transactions, stocks, bonds, notes, limited partnership interests and other types of investment contracts. To File A Complaint with the Department of Business Oversight, use the forms on the department's website or
call 1-866-ASK-CORP (275-2677) or (916) 327-7585.
The U.S. Securities and Exchange Commission is the federal agency regulating securities sales, purchases and the offer of notes, most stocks and bonds, evidence of indebtedness and certificates of need. You can get more information from the Securities and Exchange Commission website or