Scope and Contents

This series contains reports that summarize the activities of the Commission and include: (1) gross receipts, (2) expenditures, (3) issuers' licenses granted, (4) dealers licensed, and (5) land licenses granted.

Scope and Contents An act of the state legislature approved February 28, 1876, provides that a copy of each Certified Statement of Bonds be furnished to the Office of Secretary of State. Each such statement bears the date of its filing and recording. The following information is provided: (1) number or letter of bonds, (2) date of issue, (3) number of bonds, (4) amount of issue, (5) rate of interest, (6) when payable, (7) where payable, (8) date of law authorizing issue, (9) certification of accuracy of...

Scope and Contents

This series contains correspondence and 1) applications for certificates of authorization and 2) supplemental statements for licenses to sell mutual funds.

Scope and Contents The Securities Division regulates the dealers and salesmen offering intrastate securities for sale to the general public residing in the state. Even though the Act of August 19, 1913, authorized the Secretary of State to register such dealers of securities, the department had very few investigators to investigate fraudulent actions of such dealers or their salesmen until the Act of March 19, 1974, greatly expanded their authorization to do so. These brief reports contain the following...