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Each state has its own laws and regulations for securities brokers and for all types of securities, including stocks,
mutual funds, commodities, real estate offerings, uninsured investment products sold by banks and others. The
officials and agencies listed below enforce these laws and regulations. Many of these offices can provide you with
information to help you make informed investment decisions.
State securities agencies are responsible also for preventing fraud and abuse in the sale of all but the largest
securities offerings.
If you have a question or complaint about an investment you have made or are about to make, call the company
or bank involved. If your complaint or question is not resolved, call the appropriate state securities agency and
check the listings of Selected Federal Agencies for further information and assistance.
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