Securities Division

Deadline to Submit Claim Against is June 15, 2021

Private Placement Offerings Information

Submission of UIT Notice Filings

Submission of Form D Notice Filings

Crowdfunding Bill Signed Into Law

To Report Financial Exploitation Click Here


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This division registers securities offerings for sale to the public and licenses broker-dealers, agents, and investment advisers.  Working in close cooperation with the Financial Industry Regulatory Authority and the United States Securities and Exchange Commission, this section also investigates and originates enforcement actions regarding unfair practices, complaints, and violations of law regarding a variety of securities activities.

News and Information:

Daniel Battaglia Sentenced for Investment Fraud Scheme
October 21, 2020

Private Fund Advisers Order
September 25, 2020

Notice: Ralph Savoie Sentenced  -  Click Here For Details

Securities Staff Receive Excellence in Pursuit of Justice Awards
Two employees of the Securities Division received special recognition from the United States Attorney's Office for the Middle District of Louisiana for their work ethic, determination and professionalism.  Len Riviere and Frank Panepinto were honored for their outstanding contributions during the Excellence in Pursuit of Justice Awards held on May 17, 2019.  The award acknowledged their assistance on behalf of the Louisiana Office of Financial Institutions in successfully prosecuting fraudsters that exploited Louisiana citizens.  For more information Click Here.


Act 47 of the 2017 Regular Session Excludes Certain Investment Adviser Representatives From Examination/Certification Requirements
Effective June 4, 2017

Changes to SEC Regulation D - FAQs

"Dishonest or Unethical Practices Rule" for Broker-Dealers and Investment Advisers

Updated June 15, 2021