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Securities Bureau

Acts Enforced by the Securities Bureau

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About the Bureau

The Securities Bureau administers and enforces several consumer and business protection statutes. Through the authority of the Uniform Securities Act and the Idaho Commodity Code, the Bureau regulates the sale of investment securities and those individuals and entities that offer investment opportunities to the public. The Bureau’s objectives in administering and enforcing these statutes include promoting the integrity and vitality of state and federal financial markets, protecting the investing public from fraudulent investment schemes, and assisting legitimate businesses in their efforts to raise capital in Idaho. Through the Idaho Escrow Act, the Bureau provides oversight to independent escrow companies, as well as those providing 1031 exchange accommodation services.

The Bureau has limited duties under Idaho’s Control Share Acquisition Act, Business Combination Act, Continuing Care Disclosure Act, and the Idaho Financial Fraud Prevention Act. Also, the Bureau ensures that endowed care cemeteries properly handle the funds and trust placed with them through administration of the Endowment Care Cemetery Act. Finally, the Securities Bureau is responsible for the licensing and enforcement provisions of the Idaho Money Transmitters Act. A money transmitter includes any business engaged in receiving money for transmission by any and all means and any business that issues payment instruments to purchasers (e.g., money orders, stored value products).

When individuals or entities violate these statutes, appropriate remedies are sought using statutory and administrative enforcement authority. The Bureau also provides assistance in criminal prosecutions when necessary.