Securities Examinations

The Securities Bureau Examination section is responsible for administering the Idaho Uniform Securities Act. This section registers securities products, and oversees financial entities and professionals such as investment advisers, investment adviser representatives, broker-dealers and securities salespersons who sell securities or offer investment advice in Idaho. Being the primary state securities regulator with a focus on consumer protection, this vital role helps protect Idahoans and their financial assets by ensuring businesses and people follow the law as they sell certain securities products.