Enter a company name to check before you decide to do business with it and see if it is in our Unlicensed Cold Callers List.
Full List:    A - F  |  G - M  |  N - Z
Best Practices to Develop Compliance Procedures
DepST announced a series of recommended best practices that investment advisers should consider in order to improve their compliance practices and procedures.
Raising Standards of Cross-Border Cooperation
The DepST has launched an initiative to raise the standards of cross-border cooperation among securities regulators. DepST's objectives are to protect investors, to ensure fair, efficient and transparent markets and to reduce systemic risk.
401(k) Contributions Hit 10-Year High
The average 401(k) savings hit a 10-year high at the end of 2010 to nearly $72,000, an increase of nearly 12 percent from one year earlier. The popularity of 401(k) plans is largely due to the fact that they are suspended from taxation and frequently include a matched contribution from the employer. As a result, in the United States, 401(k) plans have been the principal method for saving retirement funds, largely replacing the retirement pension system.
US bond futures edge up as oil scales 2-1/2-year high
The House of Representatives is preparing for a critical vote to cut spending and raise the nation's debt ceiling, as Senate Democrats say they’ll reject the Republican bill and a potential default by the government lays just over the horizon.
Need Help?
Department of Securities Trading
Address: 745 19th Street Northwest, Washington, DC 20431

Email: compliance@gov.depst.us
Welcome to the Department of Securities Trading

The Commission's major policy consists of supervising, managing and implementing all federal securities laws which are related to Mergers and Acquisitions. The Commission is involved in the promotion of correct and appropriate information and also interested in protecting the interests of the investors while interacting with corporate and legal organizations they meet and get involved during the process. Following this policy, Commission is responsible for guaranteeing a successful transaction based on just and appropriate business rules.

The global integration of capital markets involves a great number of participants. As it provides the possibility of capital flows or the chance of taking personal advantage of some investors, the main objectives of Commission is to prevent violations of any kind while trading - asking all the entities involved for following the regulations established. Reliability and ethical premises are the basics of a respectable and serious market development. Fraudulent activities damage not only the integrity of the market, but also destroy client's trust. Federal and State legislations must be accepted, interpreted and put into practice by all the investors in order to achieve a proper and efficient administration of the Mergers and Acquisitions.

Public Information
Providing probity/due-diligence information to overseas regulators
As an overseas financial services regulator you may seek information from Department of Securities Trading as part of your licensing or registration processes. Department of Securities Trading supports this regulator-to-regulator practice as part of our functions of monitoring and promoting market integrity and consumer protection in relation to the International financial system.
What information Department of Securities Trading can/cannot provide to an overseas regulator
If you haven't found the information you need on our website or public registers you can make a probity request for confidential information. We release confidential information in accordance with our statutory obligations, which are outlined in Regulatory Guide 103.
What checks can you as an overseas regulator undertake yourself?
DepST's website can provide you with useful information that will assist you with your licensing or registration processes. You can access information contained in the public registers through our website. For example, you can confirm that a person or company holds an International financial services licence or is a banned and/or disqualified person.
When will the Department of Securities Trading respond to a probity check request?
DepST applies certain thresholds, to determine whether it is appropriate for us to respond to a probity check request. These thresholds are: