DEPARTMENT OF FINANCIAL INSTITUTIONS

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Licensing & Registration

Non-Depository
Mortgage Licensing & Exemptions
Deferred Deposit Companies & Check Cashers
Consumer & Industrial Loan Companies
Money Transmitters
Student Education Loan Servicers

Securities
Broker-Dealers
Broker-Dealer Agents
Investment Advisers
Investment Adviser Representatives
Issuer Agents
Securities Registrations
Securities Exemptions

Policy Statement
Please note that an order or advisory opinion may have changed license or registration requirements. Find out more on the Orders of the Commissioner & Other Opinions page.