UNITED STATES

Alabama

Montana

Securities Commission
401 Adams Avenue
Suite 280
P.O. Box 304700
Montgomery, AL 36130-4700

Commissioner of Securities &

Insurance
Montana State Auditors Office
Securities Department
840 Helena Avenue
Helena, MT 59601

Joseph P. Borg
Director
(334) 242-2984

Lynne Egan
Deputy Securities Commissioner
(334) 242-2984

(800) 222-1253
(800) 222-1253 FREE
(334) 242-0240 (Fax)

Alaska
Dept. of Commerce, Community and
Economic Development
Div. of Banking, Securities &
Corporations
150 Third Street, Suite 217
P.O. Box 110807
Juneau, AK 99811-0807
Kevin Anselm
Director
(907) 465-2521
(907) 465-2521
(907) 465-2549 (Fax)

Arizona
Corporation Commission
Securities Division
1300 West Washington Street
Third Floor
Phoenix, AZ 85007
Matthew J. Neubert
Director

(406) 444-2040
(406) 4442040
(406) 444-5558 (Fax)

Nebraska
Nebraska Department of
Banking & Finance
Commerce Court
1230 O Street, Suite 400
PO Box 95006
Lincoln, NE 68509-5006
Jack E. Herstein
Assistant Director
(402) 471-3445
3445

(402) 471-

Nevada
Secretary of State
Securities Division
555 East Washington Avenue
Suite 5200
Las Vegas, NV 89101
Diana Foley
Securities Administrator

(602) 542-4242
(602) 542-4242
(602) 388-1335 (Fax)

(702) 486-2440
(702) 4862440
(702) 486-2452 (Fax)

Arkansas
Securities Department
Heritage West Building
201 East Markham, Room 300
Little Rock, AR 72201-1692
Heath Abshure
Securities Commissioner
(501) 324-9260
(501) 324-9260
(501) 324-9268 (Fax)

New Hampshire
Bureau of Securities Regulation
Department of State
107 North Main Street, # 204
Concord, NH 03301-4989
Barry Glennon
Director of Securities Regulation
(603) 271-1463
(603) 2711463
(603) 271-7933 (Fax)

California
Department of Business Oversight
1515 K Street
Suite 200
Sacramento, CA 95814-4052
Jan Lynn Owen
Commissioner of the Department of
Business Oversight

New Jersey
Department of Law & Public
Safety
Bureau of Securities
153 Halsey Street
6th Floor
Newark, NJ 07102

(866) 275-2677
(866) 275-2677 FREE
(916) 322-1559 (Fax)

Amy Kopleton
Deputy Bureau Chief

Colorado

(973) 504-3600
(973) 5043600
(973) 504-3601 (Fax)

Division of Securities
1560 Broadway
Suite 900
Denver, CO 80202
Gerald Rome
Acting Securities Commissioner
(303) 894-2320
(303) 894-2320
(303) 861-2126 (Fax)

New Mexico
Regulation & Licensing
Department
Securities Division
2550 Cerrillos Road
Santa Fe, NM 87505
Alan Wilson

Director of Securities
Connecticut
Department of Banking
260 Constitution Plaza
Hartford, CT 06103-1800
Eric Wilder
Director of Securities
(860) 240-8230
(860) 240-8230
(860) 240-8295 (Fax)

Delaware
Delaware Department of Justice
Investor Protection Unit
Carvel State Office Building
820 North French Street, 5th Fl.
Wilmington, DE 19801
Owen Lefkon
Investor Protection Director
(302) 577-8424
(302) 577-8424
(302) 577-6987 (Fax)

District of Columbia
Department of Insurance, Securities and
Banking
Securities Bureau
810 First Street, NE
Suite 701 Washington, DC 20002
Theodore A. Miles
Associate Commissioner, Securities
(202) 442-7800
(202) 442-7800
(202) 354-1092 (Fax)

Florida

(505) 476-4580
(505) 4764580
(505) 984-0617 (Fax)

New York
Office of the Attorney General
Investor Protection Bureau
120 Broadway
23rd Floor
New York, NY 10271
Chad Johnson
Bureau Chief
(212) 416-8222
(212) 4168222
(212) 416-8136 (Fax)

North Carolina
Department of the Secretary of
State
Securities Division
2 South Salisbury Street
Raleigh, NC 27601
David S. Massey
Deputy Securities Administrator
(919) 733-3924
(919) 7333924
(919) 807-2183 (Fax)

North Dakota
Securities Commission
600 East Boulevard
State Capitol, 5th Floor
Bismarck, ND 58505-0510

Office of Financial Regulation

200 East Gaines Street
Tallahassee, FL 32399-0372
Pam Epting
Director, Division of Securities
(850) 410-9500
(850) 410-9500
(850) 410-9748 (Fax)

Georgia
Office of the Secretary of State
Division of Securities
Two Martin Luther King, Jr. Drive SE
802 West Tower
Atlanta, GA 30334
Tom Zagorsky
Securities Division Director
(478) 207-2440

Karen Tyler
Commissioner
(701) 328-2910
(701) 3282910
(701) 328-2946 (Fax)

Ohio
Division of Securities
77 South High Street
22nd Floor
Columbus, OH 43215-6131
Andrea Seidt
Commissioner
(614) 644-7381
(614) 6447381
(614) 466-3316 (Fax)

(478) 207-2440
Oklahoma

Hawaii
Department of Commerce &
Consumer Affairs
Division of Business Regulation
335 Merchant Street
Room 203
Honolulu, HI 96813
Tung Chan
Commissioner of Securities
(808) 586-2744
(808) 586-2744
(808) 586-2733 (Fax)

Idaho
Department of Finance
800 Park Boulevard
Suite 200

Securities Commissioner
1st National Center, Suite 860
120 N. Robinson
Oklahoma City, OK 73102
Irving Faught
Administrator
(405) 280-7700
(405) 2807700
(405) 280-7742 (Fax)

Oregon
Department of Consumer
& Business Services
Div. of Finance & Corp.
Securities
350 Winter Street, NE
Room 410

Boise, ID 83712

Salem, OR 97301-3881

Marilyn T. Chastain
Securities Bureau Chief

David Tatman
Division Administrator

(208) 332-8004
(208) 332-8004
(208) 332-8099 (Fax)

(503) 378-4140
(503) 3784140
(503) 947-7862 (Fax)

Illinois
Office of the Secretary of State
Securities Department
69 West Washington Street
Suite 1220
Chicago, IL 60602

Pennsylvania
Pennsylvania Department of
Banking and Securities
17 North 2nd Street, Suite 1300
Harrisburg, PA 17101-2290

Tanya Solov
Director of Securities

Victoria A. Reider
Executive Deputy Secretary

(312) 793-3384
(312) 793-3384
(312) 793-1202(Fax)

(717) 787-2665
(717) 7872665
(717) 783-5125 (Fax)

Indiana
Office of the Secretary of State
Securities Division
302 West Washington
Room E-111
Indianapolis, IN 46204
Carol Mihalik
Securities Commissioner
(317) 232-6681
(317) 232-6681
(317) 233-3675 (Fax)

Iowa
Insurance Division
Securities Bureau
601 Locust 4th floor
Des Moines, IA 50309

Puerto Rico
Commissioner of Financial
Institutions
PO Box 11855
San Juan, PR 00910-3855
Damaris Mendoza-Roman
Securities Administrator
(787) 723-3131
(787) 723-4225 (Fax)

Rhode Island
Department of Business
Regulation
1511 Pontiac Avenue
John O. Pastore Complex Bldg.
69-1

Rosanne Mead
Securities Administrator
(515) 281-5705
(515) 281-5705
(515) 281-3059 (Fax)

Cranston, RI 02920-4407
Maria DAlessandro
Associate Director
& Superintendent of Securities
(401) 462-9527
(401) 4629527
(401) 462-9645 (Fax)

Kansas
Office of the Securities Commissioner
109 SW 9th Street
Suite 600
Topeka, KS 66612
Joshua Ney
Securities Commissioner
(785) 296-3307
(785) 296-3307
(785) 296-6872 (Fax)

Kentucky
Department of Financial Institutions
1025 Capital Center Drive
Suite 200
Frankfort, KY 40601

South Carolina
Office of the Attorney General
Securities Division
Rembert C. Dennis Office
Building, Suite 501
1000 Assembly Street
PO Box 11549
Columbia, SC 29211-1549
T. Stephen Lynch
Deputy Securities Commissioner
(803) 734-9916
(803) 7349916
(803) 734-3677 (Fax)

Shonita Bossier
Director, Div. of Securities
South Dakota
(502) 573-3390

(502) 573-3390

(800) 223-2579
(800) 223-2579 FREE
(502) 573-2182 (Fax)

Louisiana
Securities Commission
Office of Financial Institutions
8660 United Plaza Blvd.
Second Floor
Baton Rouge, LA 70809-7024
Rhonda Reeves

Division of Securities
445 E Capitol Avenue
Pierre, SD 57501-3185
Michael Youngberg
Director
(605) 773-4823
(605) 7734823
(605) 773-5953 (Fax)

Tennessee

Deputy Securities Commissioner

(225) 925-4512

(225) 925-4512

Maine
Dept. of Professional & Financial
Regulation
Office of Securities
121 State House Station
Augusta, ME 04333-0121
Judith M. Shaw
Securities Administrator
(207) 624-8551
(207) 624-8551
(207) 624-8590 (Fax)

Maryland
Office of the Attorney General
Division of Securities
200 Saint Paul Place
Baltimore, MD 21202-2020

Department of Commerce &

Insurance
Securities Division
Davy Crockett Tower, Suite 680
500 James Robertson Parkway
Nashville, TN 37243-0575
Daphne D. Smith
Assistant Commissioner for
Securities
(615) 741-2947
(615) 7412947
(615) 532-8375 (Fax)

Texas
State Securities Board
208 East 10th Street
5th Floor, PO Box 13167
Austin, TX 78701
John Morgan
Securities Commissioner

Melanie Senter Lubin

Securities Commissioner

(512) 305-8300
(512) 3058300
(512) 305-8310 (Fax)

(410) 576-6360
(410) 576-6360
(410) 576-6532 (Fax)

U.S. Virgin Islands

Massachusetts
Securities Division
One Ashburton Place
Room 1701
Boston, MA 02108

Division of Banking and

Insurance
18 Kongens Gade
Saint Thomas, VI 00802
Deverita Sturdivant
Chief of Securities Regulation

Bryan Lantagne
Director

(340) 774-7166

(617) 727-3548
(617) 727-3548
(617) 248-0177(Fax)

Utah
Department of Commerce

Division of Securities
160 East 300 South
2nd Floor

Michigan
Department of Licensing and Regulatory
Affairs
Corporation, Securities and Commercial
Licensing Bureau
2501 Woodlake Circle, Okemos, MI
48864
PO Box 30018
Lansing, MI 48909
Alan J. Schefke
Bureau Director
(517)241-9202

(517)241-9202

Minnesota
Department of Commerce
85 East 7th Place
Suite 500
Saint Paul, MN 55101
Mike Rothman
Commissioner
(651)539-1500
(651)539-1500
(651) 296-4328 (Fax)

PO Box 146760
Salt Lake City, UT 84114-6760
Keith Woodwell
Director
(801) 530-6600
(801) 5306600
(801) 530-6980 (Fax)

Vermont
Department of Financial
Regulation
89 Main Street, 3rd Floor
Montpelier, VT 05620-3101
Michael Pieciak
Deputy Commissioner of
Securities
(802) 828-3420
(802) 8283420
(802) 828-2896 (Fax)

Virginia
Mississippi
Office of the Secretary of State
Securities Division
700 North Street, PO Box 136
Jackson, MS 39202
Cheryn Netz
Asst. Secretary of State
(601) 359-1334
(601) 359-1334
(601) 359-9070 (Fax)

State Corporation Commission

Division of Securities & Retail
Franchising
1300 East Main Street
9th Floor
PO Box 1197
Richmond, VA 23218
Ronald W. Thomas
Director
(804) 371-9051
9051

(804) 371-

(804) 371-9911 (Fax)

Missouri
Office of the Secretary of State
Securities Division
600 West Main Street
Jefferson City, MO 65101
Andrew Hartnett
Securities Commissioner
(573) 751-4136
(573) 751-4136
(573) 526-3124 (Fax)

Washington
Department of Financial
Institutions
Securities Division
150 Israel Rd, SW
PO Box 9033
Tumwater, WA 98507-9033
William Beatty
Director of Securities
(360) 902-8760
(360) 9028760
(360) 902-0524 (Fax)

West Virginia
Office of the State Auditor
Securities Division
Building 1
Room W-100
Charleston, WV 25305-0230
Lisa Hopkins
Senior Deputy Commissioner of
Securities
(304) 558-2257
(304) 5582257
(304) 558-4211 (Fax)

Wisconsin
Department of Financial
Institutions
Division of Securities
201 W. Washington Avenue
Suite 300
PO Box 1768

Madison, WI 53701-1768
Patricia D. Struck
Administrator
(608) 266-1064
(608) 2661064
(608) 264-7979 (Fax)

Wyoming
Secretary of State
Compliance Division
State Capitol Building
200 W. 24th Street
Cheyenne, WY 82002-0020
Karen Wheeler
Division Director
(307) 777-7370
(307) 7777370
(307) 777-7640 (Fax)

CANADA

Alberta
Securities Commission
Suite 600, 250 5th Street S.W.
Calgary, AB T2P 0R4
Canada
Glenda Campbell
Vice-Chair
(403) 297-6454
(403) 297-6454
(403) 297-6156 (Fax)

Nunavut
Department of Justice
Legal Registries Division
P.O. Box 1000 Station 570
1st Floor, Brown Building
Iqaluit, NU X0A 0H0
Canada
Louis Arki
Superintendent of Securities
(867) 975-6590
(867) 975-6590
(867) 975-6594 (Fax)

Ontario
British Columbia

Securities Commission

Securities Commission
P.O. Box 10142, Pacific Centre
701 West Georgia Street
Vancouver, BC V7Y 1L2
Canada
Brenda Leong
Chair
(604) 899-6500
(604) 899-6500
(604) 899-6506 (Fax)

20 Queen Street West, Suite 1900

Box 55
Toronto, ON M5H 3S8
Canada
Kathryn Daniels
Deputy Director of Enforcement
(416) 593-8314
(416) 593-8314
(416) 593-8122 (Fax)

Prince Edward Island

Manitoba
Securities Commission
500-400 St. Mary Avenue
Winnipeg, MB R3C 4K5
Canada
Douglas R. Brown
Director, Legal, Enforcement &
Registrations

Department of Environment, Labour

and Justice
95 Rochford Street
4th Floor, Shaw Building
Charlottetown, PE C1A 7N8
Canada
Katharine Tummon
Superintendent of Securities

(204) 945-2548
(204) 945-2548
(204) 945-0330 (Fax)

(902) 368-4550
(902) 368-4550
(902) 368-5283 (Fax)

New Brunswick

Qubec

Financial and Consumer Services

Commission
85 Charlotte Street, Suite 300
Saint John, NB E2L 2J2
Canada

Autorit des Marchs Financiers

800 Square Victoria, 22nd Floor
C.P. 246, tour de la Bourse
Montreal, PQ H4Z 1G3
Canada

Rick Hancox
Executive Director

Jean Lorrain
Director, International Affairs
Regulation Directorate

(506) 658-3060
(506) 658-3060
(506) 658-3059 (Fax)

(514) 395-0337
(514) 395-0337
(514) 873-3090 (Fax)

Newfoundland & Labrador

Financial Services Regulation

Saskatchewan

Division
PO Box 8700
St. Johns, NL A1B 4J6
Canada
Douglas Connolly, CGA
Superintendent of Securities
(709)-729-4189
(709)-729-4189
(709)-729-6187 (Fax)

Financial and Consumer Affairs

Authority
601 1919 Saskatchewan Drive
Regina, SK S4P 4H2
Canada
Dean Murrison
Director
(306) 787-5879
(306) 787-5879
(306) 787-5899 (Fax)

Northwest Territories
Office of Superintendent of
Securities
Department of Justice
1st Floor Stuart M. Hodgson
Building
5009 49th Street
PO Box 1320
Yellowknife, NT X1A 2L9
Canada
Gary MacDougall,
Superintendent of Securities
(867) 873-7490
(867) 873-7490
(867) 873-0243 (Fax)

Nova Scotia
Securities Commission
5251 Duke Street
Suite 400, Duke Tower
PO Box 458
Halifax, NS B3J 2P8
Canada
Sarah P. Bradley
Chair
(902) 424-7768

(902) 424-7768

Yukon
Department of Community Services
Corporate Affairs C-6
P.O. Box 2703
Whitehorse, YT Y1A 2C6
Canada
Frederik Pretorius
Superintendent of Securities
(867) 667-5314
(867) 667-5314
(867) 393-6251 (Fax)

(902) 424-4625 (Fax)

MEXICO
Comisin Nacional Bancaria y de Valores
Av. Insurgentes Sur 1971, Torre Sur
Piso 11
Plaza Inn, Col. Guadalupe Inn, C.P. 01020
Mexico
Jose Loyola
Director General of International Affairs
011 52 55 1454-6020

Montana
Commissioner of Securities & Insurance
Montana State Auditors Office
Securities Department
840 Helena Avenue
Helena, MT 59601
Lynne Egan
Deputy Securities Commissioner
(406) 444-2040
(406) 444-2040
(406) 444-5558 (Fax)

Nebraska
Nebraska Department of Banking & Finance
Commerce Court
1230 O Street, Suite 400
PO Box 95006
Lincoln, NE 68509-5006

Jack E. Herstein
Assistant Director
(402) 471-3445

(402) 471-3445

Nevada
Secretary of State
Securities Division
555 East Washington Avenue
Suite 5200
Las Vegas, NV 89101
Diana Foley
Securities Administrator
(702) 486-2440
(702) 486-2440
(702) 486-2452 (Fax)

New Hampshire
Bureau of Securities Regulation
Department of State
107 North Main Street, # 204
Concord, NH 03301-4989
Barry Glennon
Director of Securities Regulation
(603) 271-1463
(603) 271-1463
(603) 271-7933 (Fax)

New Jersey
Department of Law & Public Safety
Bureau of Securities
153 Halsey Street

6th Floor
Newark, NJ 07102
Amy Kopleton
Deputy Bureau Chief
(973) 504-3600
(973) 504-3600
(973) 504-3601 (Fax)

New Mexico
Regulation & Licensing Department
Securities Division
2550 Cerrillos Road
Santa Fe, NM 87505
Alan Wilson
Director of Securities
(505) 476-4580
(505) 476-4580
(505) 984-0617 (Fax)

New York
Office of the Attorney General
Investor Protection Bureau
120 Broadway
23rd Floor
New York, NY 10271
Chad Johnson
Bureau Chief
(212) 416-8222
(212) 416-8222
(212) 416-8136 (Fax)

North Carolina
Department of the Secretary of State
Securities Division
2 South Salisbury Street
Raleigh, NC 27601
David S. Massey
Deputy Securities Administrator
(919) 733-3924
(919) 733-3924
(919) 807-2183 (Fax)

North Dakota
Securities Commission
600 East Boulevard
State Capitol, 5th Floor
Bismarck, ND 58505-0510
Karen Tyler
Commissioner
(701) 328-2910
(701) 328-2910
(701) 328-2946 (Fax)

Ohio
Division of Securities
77 South High Street
22nd Floor
Columbus, OH 43215-6131
Andrea Seidt
Commissioner
(614) 644-7381
(614) 644-7381
(614) 466-3316 (Fax)

Oklahoma
Securities Commissioner
1st National Center, Suite 860
120 N. Robinson
Oklahoma City, OK 73102
Irving Faught
Administrator
(405) 280-7700
(405) 280-7700
(405) 280-7742 (Fax)

Oregon
Department of Consumer
& Business Services
Div. of Finance & Corp. Securities
350 Winter Street, NE
Room 410
Salem, OR 97301-3881
David Tatman
Division Administrator
(503) 378-4140
(503) 378-4140
(503) 947-7862 (Fax)

Pennsylvania
Pennsylvania Department of
Banking and Securities
17 North 2nd Street, Suite 1300
Harrisburg, PA 17101-2290
Victoria A. Reider
Executive Deputy Secretary

(717) 787-2665
(717) 787-2665
(717) 783-5125 (Fax)

Puerto Rico
Commissioner of Financial Institutions
PO Box 11855
San Juan, PR 00910-3855
Damaris Mendoza-Roman
Securities Administrator
(787) 723-3131
(787) 723-4225 (Fax)

Rhode Island
Department of Business Regulation
1511 Pontiac Avenue
John O. Pastore Complex Bldg. 69-1
Cranston, RI 02920-4407
Maria DAlessandro
Associate Director
& Superintendent of Securities
(401) 462-9527
(401) 462-9527
(401) 462-9645 (Fax)

South Carolina
Office of the Attorney General
Securities Division
Rembert C. Dennis Office Building, Suite 501
1000 Assembly Street
PO Box 11549

Columbia, SC 29211-1549
T. Stephen Lynch
Deputy Securities Commissioner
(803) 734-9916
(803) 734-9916
(803) 734-3677 (Fax)

South Dakota
Division of Securities
445 E Capitol Avenue
Pierre, SD 57501-3185
Michael Youngberg
Director
(605) 773-4823
(605) 773-4823
(605) 773-5953 (Fax)

Tennessee
Department of Commerce & Insurance
Securities Division
Davy Crockett Tower, Suite 680
500 James Robertson Parkway
Nashville, TN 37243-0575
Daphne D. Smith
Assistant Commissioner for Securities
(615) 741-2947
(615) 741-2947
(615) 532-8375 (Fax)

Texas
State Securities Board

208 East 10th Street

5th Floor, PO Box 13167
Austin, TX 78701
John Morgan
Securities Commissioner
(512) 305-8300
(512) 305-8300
(512) 305-8310 (Fax)

U.S. Virgin Islands

Division of Banking and Insurance
18 Kongens Gade
Saint Thomas, VI 00802
Deverita Sturdivant
Chief of Securities Regulation
(340) 774-7166

Utah
Department of Commerce
Division of Securities
160 East 300 South
2nd Floor
PO Box 146760
Salt Lake City, UT 84114-6760
Keith Woodwell
Director
(801) 530-6600
(801) 530-6600
(801) 530-6980 (Fax)

Vermont
Department of Financial Regulation
89 Main Street, 3rd Floor
Montpelier, VT 05620-3101
Michael Pieciak
Deputy Commissioner of Securities
(802) 828-3420
(802) 828-3420
(802) 828-2896 (Fax)

Virginia
State Corporation Commission
Division of Securities & Retail Franchising
1300 East Main Street
9th Floor
PO Box 1197
Richmond, VA 23218
Ronald W. Thomas
Director
(804) 371-9051
(804) 371-9051
(804) 371-9911 (Fax)

Washington
Department of Financial Institutions
Securities Division
150 Israel Rd, SW
PO Box 9033
Tumwater, WA 98507-9033
William Beatty
Director of Securities

(360) 902-8760
(360) 902-8760
(360) 902-0524 (Fax)

West Virginia
Office of the State Auditor
Securities Division
Building 1
Room W-100
Charleston, WV 25305-0230
Lisa Hopkins
Senior Deputy Commissioner of Securities
(304) 558-2257
(304) 558-2257
(304) 558-4211 (Fax)

Wisconsin
Department of Financial Institutions
Division of Securities
201 W. Washington Avenue
Suite 300
PO Box 1768
Madison, WI 53701-1768
Patricia D. Struck
Administrator
(608) 266-1064
(608) 266-1064
(608) 264-7979 (Fax)

Wyoming
Secretary of State
Compliance Division

State Capitol Building

200 W. 24th Street
Cheyenne, WY 82002-0020
Karen Wheeler
Division Director
(307) 777-7370
(307) 777-7370
(307) 777-7640 (Fax)

UNITED STATES
Alabama

Montana

Securities Commission
401 Adams Avenue
Suite 280
P.O. Box 304700
Montgomery, AL 36130-4700

Commissioner of Securities &

Insurance
Montana State Auditors Office
Securities Department
840 Helena Avenue
Helena, MT 59601

Joseph P. Borg
Director
(334) 242-2984

Lynne Egan
Deputy Securities Commissioner
(334) 242-2984

(800) 222-1253
(800) 222-1253 FREE
(334) 242-0240 (Fax)

(406) 444-2040
(406) 444-2040
(406) 444-5558 (Fax)

Alaska

Nebraska

Dept. of Commerce, Community and

Economic Development
Div. of Banking, Securities & Corporations
150 Third Street, Suite 217
P.O. Box 110807
Juneau, AK 99811-0807

Nebraska Department of Banking

& Finance
Commerce Court
1230 O Street, Suite 400
PO Box 95006
Lincoln, NE 68509-5006

Kevin Anselm
Director

Jack E. Herstein
Assistant Director

(907) 465-2521
(907) 465-2521
(907) 465-2549 (Fax)

(402) 471-3445

(402) 471-3445

Nevada
Arizona
Corporation Commission
Securities Division
1300 West Washington Street
Third Floor
Phoenix, AZ 85007
Matthew J. Neubert
Director
(602) 542-4242
(602) 542-4242
(602) 388-1335 (Fax)

Secretary of State
Securities Division
555 East Washington Avenue
Suite 5200
Las Vegas, NV 89101
Diana Foley
Securities Administrator
(702) 486-2440
(702) 486-2440
(702) 486-2452 (Fax)

New Hampshire
Arkansas
Securities Department
Heritage West Building
201 East Markham, Room 300
Little Rock, AR 72201-1692
Heath Abshure
Securities Commissioner
(501) 324-9260
(501) 324-9260
(501) 324-9268 (Fax)

Bureau of Securities Regulation

Department of State
107 North Main Street, # 204
Concord, NH 03301-4989
Barry Glennon
Director of Securities Regulation
(603) 271-1463
(603) 271-1463
(603) 271-7933 (Fax)

New Jersey
California
Department of Business Oversight

Department of Law & Public

Safety

1515 K Street
Suite 200
Sacramento, CA 95814-4052
Jan Lynn Owen
Commissioner of the Department of
Business Oversight

Bureau of Securities
153 Halsey Street
6th Floor
Newark, NJ 07102
Amy Kopleton
Deputy Bureau Chief

(866) 275-2677
(866) 275-2677 FREE
(916) 322-1559 (Fax)

(973) 504-3600
(973) 504-3600
(973) 504-3601 (Fax)

Colorado

New Mexico

Division of Securities
1560 Broadway
Suite 900
Denver, CO 80202

Regulation & Licensing

Department
Securities Division
2550 Cerrillos Road
Santa Fe, NM 87505

Gerald Rome
Acting Securities Commissioner
(303) 894-2320
(303) 894-2320
(303) 861-2126 (Fax)

Alan Wilson
Director of Securities
(505) 476-4580
(505) 476-4580
(505) 984-0617 (Fax)

Connecticut
Department of Banking
260 Constitution Plaza
Hartford, CT 06103-1800
Eric Wilder
Director of Securities

New York
Office of the Attorney General
Investor Protection Bureau
120 Broadway
23rd Floor
New York, NY 10271

(860) 240-8230
(860) 240-8230
(860) 240-8295 (Fax)

Chad Johnson
Bureau Chief

Delaware

(212) 416-8222
(212) 416-8222
(212) 416-8136 (Fax)

Delaware Department of Justice

Investor Protection Unit
Carvel State Office Building
820 North French Street, 5th Fl.
Wilmington, DE 19801
Owen Lefkon

North Carolina
Department of the Secretary of
State
Securities Division

Investor Protection Director

(302) 577-8424
(302) 577-8424
(302) 577-6987 (Fax)

2 South Salisbury Street

Raleigh, NC 27601
David S. Massey
Deputy Securities Administrator

District of Columbia

(919) 733-3924
(919) 733-3924
(919) 807-2183 (Fax)

Department of Insurance, Securities and

Banking
Securities Bureau
810 First Street, NE
Suite 701 Washington, DC 20002

North Dakota

Theodore A. Miles
Associate Commissioner, Securities
(202) 442-7800
(202) 442-7800
(202) 354-1092 (Fax)

Securities Commission
600 East Boulevard
State Capitol, 5th Floor
Bismarck, ND 58505-0510
Karen Tyler
Commissioner
(701) 328-2910
(701) 328-2910
(701) 328-2946 (Fax)

Florida
Office of Financial Regulation
200 East Gaines Street
Tallahassee, FL 32399-0372
Pam Epting
Director, Division of Securities
(850) 410-9500
(850) 410-9500
(850) 410-9748 (Fax)

Ohio
Division of Securities
77 South High Street
22nd Floor
Columbus, OH 43215-6131
Andrea Seidt
Commissioner

Georgia

(614) 644-7381
(614) 644-7381
(614) 466-3316 (Fax)

Office of the Secretary of State

Division of Securities
Two Martin Luther King, Jr. Drive SE
802 West Tower
Atlanta, GA 30334

Oklahoma

Tom Zagorsky
Securities Division Director
(478) 207-2440

(478) 207-2440

Securities Commissioner
1st National Center, Suite 860
120 N. Robinson
Oklahoma City, OK 73102
Irving Faught
Administrator

Hawaii
Department of Commerce &
Consumer Affairs
Division of Business Regulation
335 Merchant Street
Room 203
Honolulu, HI 96813
Tung Chan
Commissioner of Securities

(405) 280-7700
(405) 280-7700
(405) 280-7742 (Fax)

Oregon
Department of Consumer
& Business Services
Div. of Finance & Corp. Securities
350 Winter Street, NE
Room 410
Salem, OR 97301-3881

(808) 586-2744
(808) 586-2744
(808) 586-2733 (Fax)

David Tatman
Division Administrator

Idaho

(503) 378-4140
(503) 378-4140
(503) 947-7862 (Fax)

Department of Finance
800 Park Boulevard
Suite 200
Boise, ID 83712
Marilyn T. Chastain
Securities Bureau Chief

Pennsylvania
Pennsylvania Department of
Banking and Securities
17 North 2nd Street, Suite 1300
Harrisburg, PA 17101-2290

(208) 332-8004
(208) 332-8004
(208) 332-8099 (Fax)

Victoria A. Reider
Executive Deputy Secretary

Illinois

(717) 787-2665
(717) 787-2665
(717) 783-5125 (Fax)

Office of the Secretary of State

Securities Department
69 West Washington Street
Suite 1220
Chicago, IL 60602
Tanya Solov
Director of Securities
(312) 793-3384
(312) 793-3384
(312) 793-1202(Fax)

Puerto Rico
Commissioner of Financial
Institutions
PO Box 11855
San Juan, PR 00910-3855
Damaris Mendoza-Roman
Securities Administrator
(787) 723-3131
(787) 723-4225 (Fax)

Indiana
Office of the Secretary of State
Securities Division
302 West Washington
Room E-111
Indianapolis, IN 46204
Carol Mihalik
Securities Commissioner

Rhode Island
Department of Business
Regulation
1511 Pontiac Avenue
John O. Pastore Complex Bldg. 691
Cranston, RI 02920-4407

(317) 232-6681
(317) 232-6681
(317) 233-3675 (Fax)

Maria DAlessandro
Associate Director
& Superintendent of Securities

Iowa

(401) 462-9527
(401) 462-9527
(401) 462-9645 (Fax)

Insurance Division
Securities Bureau
601 Locust 4th floor
Des Moines, IA 50309
Rosanne Mead
Securities Administrator
(515) 281-5705
(515) 281-5705
(515) 281-3059 (Fax)

Kansas
Office of the Securities Commissioner
109 SW 9th Street
Suite 600
Topeka, KS 66612
Joshua Ney
Securities Commissioner
(785) 296-3307
(785) 296-3307
(785) 296-6872 (Fax)

Kentucky
Department of Financial Institutions
1025 Capital Center Drive
Suite 200

South Carolina
Office of the Attorney General
Securities Division
Rembert C. Dennis Office Building,
Suite 501
1000 Assembly Street
PO Box 11549
Columbia, SC 29211-1549
T. Stephen Lynch
Deputy Securities Commissioner
(803) 734-9916
(803) 734-9916
(803) 734-3677 (Fax)

South Dakota
Division of Securities
445 E Capitol Avenue
Pierre, SD 57501-3185
Michael Youngberg
Director
(605) 773-4823
(605) 773-4823
(605) 773-5953 (Fax)

Frankfort, KY 40601
Shonita Bossier
Director, Div. of Securities
(502) 573-3390

(502) 573-3390

(800) 223-2579
(800) 223-2579 FREE
(502) 573-2182 (Fax)

Louisiana
Securities Commission
Office of Financial Institutions
8660 United Plaza Blvd.
Second Floor
Baton Rouge, LA 70809-7024

Tennessee
Department of Commerce &
Insurance
Securities Division
Davy Crockett Tower, Suite 680
500 James Robertson Parkway
Nashville, TN 37243-0575
Daphne D. Smith
Assistant Commissioner for
Securities
(615) 741-2947
(615) 741-2947
(615) 532-8375 (Fax)

Rhonda Reeves
Deputy Securities Commissioner

Texas

(225) 925-4512

State Securities Board

208 East 10th Street
5th Floor, PO Box 13167
Austin, TX 78701

(225) 925-4512

Maine
Dept. of Professional & Financial Regulation
Office of Securities
121 State House Station
Augusta, ME 04333-0121
Judith M. Shaw
Securities Administrator

John Morgan
Securities Commissioner
(512) 305-8300
(512) 305-8300
(512) 305-8310 (Fax)

U.S. Virgin Islands

(207) 624-8551
(207) 624-8551
(207) 624-8590 (Fax)

Division of Banking and Insurance

18 Kongens Gade
Saint Thomas, VI 00802

Maryland

Deverita Sturdivant
Chief of Securities Regulation

Office of the Attorney General

Division of Securities
200 Saint Paul Place
Baltimore, MD 21202-2020
Melanie Senter Lubin
Securities Commissioner

(340) 774-7166

Utah
Department of Commerce

(410) 576-6360
(410) 576-6360
(410) 576-6532 (Fax)

PO Box 146760
Salt Lake City, UT 84114-6760

Massachusetts
Securities Division
One Ashburton Place
Room 1701
Boston, MA 02108
Bryan Lantagne
Director
(617) 727-3548
(617) 727-3548
(617) 248-0177(Fax)

Michigan
Department of Licensing and Regulatory
Affairs
Corporation, Securities and Commercial
Licensing Bureau
2501 Woodlake Circle, Okemos, MI 48864
PO Box 30018
Lansing, MI 48909
Alan J. Schefke
Bureau Director
(517)241-9202

Division of Securities
160 East 300 South
2nd Floor

Keith Woodwell
Director
(801) 530-6600
(801) 530-6600
(801) 530-6980 (Fax)

Vermont
Department of Financial
Regulation
89 Main Street, 3rd Floor
Montpelier, VT 05620-3101
Michael Pieciak
Deputy Commissioner of
Securities
(802) 828-3420
(802) 828-3420
(802) 828-2896 (Fax)

Virginia
(517)241-9202

Minnesota
Department of Commerce
85 East 7th Place
Suite 500
Saint Paul, MN 55101
Mike Rothman
Commissioner
(651)539-1500
(651)539-1500
(651) 296-4328 (Fax)

State Corporation Commission

Division of Securities & Retail
Franchising
1300 East Main Street
9th Floor
PO Box 1197
Richmond, VA 23218
Ronald W. Thomas
Director
(804) 371-9051
(804) 371-9051
(804) 371-9911 (Fax)

Washington
Mississippi
Office of the Secretary of State
Securities Division
700 North Street, PO Box 136
Jackson, MS 39202
Cheryn Netz
Asst. Secretary of State
(601) 359-1334
(601) 359-1334
(601) 359-9070 (Fax)

Department of Financial
Institutions
Securities Division
150 Israel Rd, SW
PO Box 9033
Tumwater, WA 98507-9033
William Beatty
Director of Securities
(360) 902-8760
(360) 902-8760
(360) 902-0524 (Fax)

Missouri
Office of the Secretary of State
Securities Division
600 West Main Street
Jefferson City, MO 65101
Andrew Hartnett
Securities Commissioner
(573) 751-4136
(573) 751-4136
(573) 526-3124 (Fax)

West Virginia
Office of the State Auditor
Securities Division
Building 1
Room W-100
Charleston, WV 25305-0230
Lisa Hopkins
Senior Deputy Commissioner of
Securities
(304) 558-2257
(304) 558-2257
(304) 558-4211 (Fax)

Wisconsin
Department of Financial
Institutions
Division of Securities
201 W. Washington Avenue
Suite 300
PO Box 1768
Madison, WI 53701-1768
Patricia D. Struck
Administrator
(608) 266-1064

(608) 266-1064

(608) 264-7979 (Fax)

Wyoming
Secretary of State
Compliance Division
State Capitol Building
200 W. 24th Street
Cheyenne, WY 82002-0020
Karen Wheeler
Division Director
(307) 777-7370
(307) 777-7370
(307) 777-7640 (Fax)

CANADA

Alberta
Securities Commission
Suite 600, 250 5th Street S.W.
Calgary, AB T2P 0R4
Canada
Glenda Campbell
Vice-Chair
(403) 297-6454
(403) 297-6454
(403) 297-6156 (Fax)

Nunavut
Department of Justice
Legal Registries Division
P.O. Box 1000 Station 570
1st Floor, Brown Building
Iqaluit, NU X0A 0H0
Canada
Louis Arki
Superintendent of Securities
(867) 975-6590
(867) 975-6590
(867) 975-6594 (Fax)

Ontario
British Columbia
Securities Commission
P.O. Box 10142, Pacific Centre
701 West Georgia Street
Vancouver, BC V7Y 1L2
Canada
Brenda Leong
Chair

Securities Commission
20 Queen Street West, Suite 1900
Box 55
Toronto, ON M5H 3S8
Canada
Kathryn Daniels
Deputy Director of Enforcement
(416) 593-8314

(416) 593-8314

(604) 899-6500
(604) 899-6500
(604) 899-6506 (Fax)

(416) 593-8122 (Fax)

Prince Edward Island

Manitoba
Securities Commission
500-400 St. Mary Avenue
Winnipeg, MB R3C 4K5
Canada
Douglas R. Brown
Director, Legal, Enforcement &
Registrations
(204) 945-2548
(204) 945-2548
(204) 945-0330 (Fax)

New Brunswick
Financial and Consumer Services
Commission
85 Charlotte Street, Suite 300
Saint John, NB E2L 2J2
Canada
Rick Hancox
Executive Director
(506) 658-3060
(506) 658-3060
(506) 658-3059 (Fax)

Newfoundland & Labrador

Financial Services Regulation Division
PO Box 8700
St. Johns, NL A1B 4J6
Canada
Douglas Connolly, CGA
Superintendent of Securities
(709)-729-4189
(709)-729-4189
(709)-729-6187 (Fax)

Department of Environment, Labour and

Justice
95 Rochford Street
4th Floor, Shaw Building
Charlottetown, PE C1A 7N8
Canada
Katharine Tummon
Superintendent of Securities
(902) 368-4550
(902) 368-4550
(902) 368-5283 (Fax)

Qubec
Autorit des Marchs Financiers
800 Square Victoria, 22nd Floor
C.P. 246, tour de la Bourse
Montreal, PQ H4Z 1G3
Canada
Jean Lorrain
Director, International Affairs
Regulation Directorate
(514) 395-0337
(514) 395-0337
(514) 873-3090 (Fax)

Saskatchewan
Financial and Consumer Affairs Authority
601 1919 Saskatchewan Drive
Regina, SK S4P 4H2
Canada
Dean Murrison
Director
(306) 787-5879
(306) 787-5879
(306) 787-5899 (Fax)

Northwest Territories

Yukon

Office of Superintendent of Securities

Department of Justice
1st Floor Stuart M. Hodgson Building
5009 49th Street

Department of Community Services

Corporate Affairs C-6
P.O. Box 2703
Whitehorse, YT Y1A 2C6
Canada

PO Box 1320
Yellowknife, NT X1A 2L9
Canada
Gary MacDougall,
Superintendent of Securities
(867) 873-7490
(867) 873-7490
(867) 873-0243 (Fax)

Nova Scotia
Securities Commission
5251 Duke Street
Suite 400, Duke Tower
PO Box 458
Halifax, NS B3J 2P8
Canada
Sarah P. Bradley
Chair
(902) 424-7768
(902) 424-7768
(902) 424-4625 (Fax)
MEXICO
Comisin Nacional Bancaria y de Valores
Av. Insurgentes Sur 1971, Torre Sur
Piso 11
Plaza Inn, Col. Guadalupe Inn, C.P. 01020
Mexico
Jose Loyola
Director General of International Affairs
011 52 55 1454-6020

Frederik Pretorius
Superintendent of Securities
(867) 667-5314
(867) 667-5314
(867) 393-6251 (Fax)