The Securities Commission is charged with enforcing State securities laws. The
two main working groups of the Commission include Registration and Enforcement.
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.
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
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.
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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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
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.