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New Jersey Bureau of Securities

About the Bureau of Securities

The New Jersey Bureau of Securities (“Bureau”) is charged with protecting investors from investment fraud, and regulating the securities industry in New Jersey. In addition to bringing investigative and enforcement actions against firms or individuals who violate the New Jersey Uniform Securities Law and Regulations, the Bureau registers securities offered or sold in New Jersey and oversees the firms and individuals selling securities or providing investment advice to New Jersey residents. Through its Investor Education initiative, the Bureau also helps New Jersey residents become informed investors and promotes financial literacy.

The Bureau adheres to the philosophy that investor protection begins with prevention. By registering broker-dealers, investment advisers and their agents who conduct business in New Jersey, the Bureau identifies potential problems before they occur. By registering securities, the Bureau requires issuers to provide the disclosures necessary for investors to make informed investment decisions. By conducting broker-dealer and investment adviser examinations, Bureau examiners identify violations and assure that the firms take corrective action to comply with the Uniform Securities Law and Regulations. Finally, by providing Investor Education materials and Check Before You Invest tools, the Bureau assists investors in making informed investment decisions.

The Bureau collaborates with law enforcement agencies around the globe – from Scotland Yard to Australia – and its work has garnered national recognition and the respect of fellow prosecutors and regulators throughout the country.

Last Modified: 5/16/2016 6:39 AM