Skip Navigation LinksDOBS > Businesses > Securities


Information for Broker-Dealers
Information for Broker-Dealer Agents
community outreach.jpg
Information for Investment Advisers

Information for IA Reps
Information for IA Notice Filers
community outreach.jpg
Information for Securities Offerings

Information for Registered Securities


No Action Letters
    Interpretive Positions

The Pennsylvania Department of Banking and Securities registers more than 200,000 broker-dealersbroker-dealer agentsinvestment advisersinvestment adviser representatives, and notice filers who conduct securities-related business in Pennsylvania. The department also reviews more than 5,000 securities offerings made to Pennsylvanians each year.

We provide free help to anyone with a question, concern or complaint about Pennsylvania financial institutions, services, or products.  Simply call
1.800.PA.BANKS (800.722.2657) or use our online complaint form and a trained professional will respond within 24 hours during the week.

The department is accredited by the Conference of State Bank Supervisors
, the American Association of Residential Mortgage Regulators and the National Association of State Credit Union Supervisors, and is a member of the North American Securities Administrators Association, the Money Transmitters Regulators Association, and the National Association of Consumer Credit Administrators.

Our work is funded entirely by the assessments and fees paid by Pennsylvania’s regulated financial community.  No taxpayer dollars are used to support our work.