Securities Commission
The Securities Commission, a division of the West Virginia State Auditor’s Office, administers and enforces The West Virginia Uniform Securities Act, The West Virginia Commodities Act, The West Virginia Real Estate Time-Sharing Act, and all associated regulations. The administrative duty of the Securities Commission includes the regulation of securities offerings, commodities, and time-shares as well as any required registration and notice filing of such regulated firms, individuals, and securities. The enforcement duty of the Securities Commission includes the review of complaints and investigations of regulated entities and activities as wells as investigation of fraudulent activities. The primary mission of the Securities Commission is protection of West Virginia residents from prohibited activities within its jurisdiction while maintaining a fair and competitive environment for businesses.
To contact the Securities Commission, please select a department from the dropdown below:
- Agent of Issuer
- Broker-Dealer
- Exemptions for Securities
- Fraud/Securities
- Fraud/Timeshare
- General Questions
- Interpretive Opinions
- Investment Advisor
- Mutual Funds
- Registered Securities
- Regulation D Filings
- Timeshares
- Crowdfunding
Agent Of Issuer
Registrations for agent of issuers expire annually on December 31st.
- Agent of Issuer Post Registration Requirements
- Agent of Issuer Registration Requirements
- Agent of Issuer Registration-Renewal Requirements
Broker Dealer
Please be advised applications are processed in the order received and this process may take up to 30 days. Dual Registration for West Virginia is not permitted without a waiver. Registrations for FINRA Broker Dealer’s, Agent’s and branch offices expire annually on December 31st. Registrations for NON FINRA Broker Dealer’s, Agent’s and branch offices expire 12 months from initial registration date.
- Broker Dealer Post Registration Requirements
- FINRA Broker Dealer and Agent Registration Requirements
- NON FINRA Broker Dealer and Agent Registration Requirements
- Uniform Branch Office Registration Form
- Uniform Request for Broker Dealer Withdrawal Form
- Broker Dealer De Minimis Exemption
- Broker Dealer Dual Registration
- Waiver of Examination Requirement
Investment Adviser
Please be advised applications are processed in the order received and this process may take up to 30 days. Registrations for Investment Adviser’s, Representatives and branch offices expire annually on December 31st.
- Authentication Form
- Automatic Registration of Investment Advisers
- De Minimis Exemption
- Example of a Net Capital Computation
- Federal Adviser Procedures (Case Order No. 97-1228)
- Initial Registration Form-Paper Filers
- Order No. 0006--Establishing an Investment Advisor Solicitor and Investment Adviser Solicitor Representative
- Order No. 0007--Financial Reporting Requirements
- Post Registration Reporting Requirements
- Professional Designations
- Registration requirements for Investment Adviser Solicitors
- Registration requirements for Investment Advisers
- Renewal Registration Form - Paper Filers
- Surety Bond Form
- Waiver of Examination Requirement for Investment Advisers
- WV Branch Office Form
- WV Investment Adviser Addendum Branch Office Form
SEC Regulation D Exemption Filings
The applicant’s reliance upon the Regulation D Uniform Limited Offering exemption, under §111 C.S.R.1-15.06(b)(9) of the Code of State Rules, excludes the application of other exemptions for the same offering. The transaction de minimis exemption under §32-4-402(b)(9) and the Uniform Limited Offering Exemption under §111 C.S.R.1-15.06(b)(9), are separate and distinct exemptions. The transaction de minimis exemption is self-executing.
- West Virginia recognizes 505, 506(b) and 506)c) under Regulation D.
- 504 filing must file through the Mid-Atlantic Regional Program.
- Mid-Atlantic Regional Review
- SEC Regulation D Filing Requirements
- Statement of Policy Regulation D
Mutual Funds
West Virginia recognizes the Mutual Fund Federal Exemptions and accepts such things on Form NF.
- Mutual Fund Filing Fees
Registered Securities
- Registration of Securities by Coordination Requirements
- Registration of Securities by Qualification Requirements
- Small Company Offering Registration Form
- Small Company Offering Registration Manual
Cease and Desist Orders
- A1 Marketing dba Elite Timeshares
- Access Travel Network and Tina Moore
- Advanced Luxury Solutions
- Alliance Corporate Solutions dba Alliance Capital Management LLC
- Allied Partners
- Anderson Smith and Stacktradeoptions C&D
- Beneficial Business Solutions
- Charles J. Mitchell II C&D Order
- Equity Financial Services and Ron Carlyle
- Exchange Travel International and Daniel Weller
- Family Wholesalers Inc. and Larry Lewis
- Florida Finest Villas and Danny Martinez
- GTR Group Services International Timeshare Liquidators et al.
- HelpUSell Timeshares and Michael Grace
- Horizon Global Services
- Ideal Lending Solutions and Darryl Lawrence
- JZS & Associates and Ray Valdez C&D Order
- Key Property Marketing Charles Murray and Kim Boyd
- Luizarusbtc_ and Kristoff Kerr C&D Order
- Luxury Capitol Group Ed Franklin and Anthony Sabella
- Marcia Jones Antonio Noble et al C&D Order
- Nabil Guirguis C&D Order
- Nabil Guirguis
- Natalie Cochran C&D Order
- Palmetto Trust and Finance
- Premier Travel Realty aka Your Travels Rentals
- Premium Timeshare Exchange and Premium Marketing Solutions
- Resort Equity Marketing and Equity Marketing Group
- Resort FSBO Eric Turner Joey Jensen Kevin Soto and Shane Rogers
- Resort Management Services LLC
- Resorts Royalty
- Sell My Vacation Inc. and Robert Larnell
- SEUS International Group LTD and Ji-Ah Lee C&D Order
- Sreedhar Potarazu C&D Order
- The Ownership Solution
- Timeshare Property Finders David Banks and Shawn Stark
- Timeshare Travel and George Randolph
- Top Choice Timeshare Group
- True Vacation Services
- TS Timeshare Resale and Timeshare Title Services
- TWA Resales and S.F.C. Group
- Universal Marketing Solutions and Jennifer Kirk
- Vimes Investment Inc
