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Securities Commission
The Securities Commission is charged with enforcing State securities laws. The two main working groups of
the Commission include Registration and Enforcement.
Registration: State residents are encouraged to call toll free at 888.368.9507 for registration
status and background information of any stock, broker/dealer or investment advisor before investing.
Enforcement: The Commission protects and serves West Virginians by investigating securities
frauds and scams, including pyramid and ponzi schemes. If you have been approached or victimized by
securities fraud, please call toll free 888.509.6567.
Free CRD Report
Request a Free CRD Report which will allow you to determine whether a broker/dealer in question meets the
statutory requirements to engage in the securities business.
The Central Registration Depository [CRD] system is provided to participating States, other jurisdictions,
Self-Regulatory Organizations and other regulators to facilitate the licensing and registration of
broker/dealers and their associated persons and for other regulatory purposes. West Virginia Securities
Commission is a participant in the CRD.
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Mission Statement
To enforce and administer the West Virginia Uniform Securities Act, the West Virginia Administrative
Regulations of the Commissioner of Securities, the West Virginia Commodities Act, and the West Virginia
Real Estate Time-Sharing Act; to foster capital formation in West Virginia business; and to provide
information and opportunities for investor education to both consumers of investment products and the
general public.
The West Virginia Securities Commission shall have the mission of statewide enforcement of the securities
laws with emphasis on basic enforcement and citizen protection, registration and regulation of all aspects
of the securities industry.
Disclaimer
The West Virginia Securities Commission uses links to other Web sites for the convenience of the user. Whenever you
click on links provided, you are leaving the West Virginia Securities Commission and entering an external site. The
Security Commission cannot attest to the accuracy of the information provided by the external linked sites, nor does
the Securities Commission endorse any products or information obtained from these external sites.
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