Financial Services Regulators
- Federal Deposit Insurance Corporation — FDIC-Insured State Non-member Banks; and Foreign Branches of U.S. Insured State Member Banks
- Federal Reserve Bank of Chicago — State member banks; bank holding companies; foreign branches of U.S. national and state member banks; federal U.S. branches and agencies of foreign banks; state U.S. branches and agencies of foreign banks; Edge Act Corporations; and Agreement Corporations.
- Office of the Comptroller of the Currency — National Banks and their subsidiaries; Federal U.S. Branches and Agencies of Foreign Banks; Foreign Branches of U.S. National and State Member Banks; Insured Federal Savings Associations; Insured State Savings Associations; and Thrift Holding Companies
- Illinois Department of Financial and Professional Regulation (Division of Banks and Real Estate) — State-Chartered Banks and Thrifts; Corporate Fiduciaries; Real Estate Brokers and Agents; Appraisers; Timeshare/Land Ssales; Mortgage Bankers and Brokers; Leasing Agents; Check Printers; Pawnbrokers; and Auctioneers
- Indiana Department of Financial Institutions — State-Chartered Commercial Banks; Trust Companies; Savings Aanks; Building and Loans Associations; Credit Unions; Pawnbrokers; Money Transmitters; Industrial Loan and Investment Companies; Budget Service Companies; Rental/Purchase Businesses; Check Cashers; and Licensees under the Uniform Consumer Credit Code
- Iowa Department of Commerce - Division of Banking — State-Chartered Banks; Bank Holding Companies; Trust Operations; Regulated Loan Companies; Industrial Loan Companies; Debt Management Companies; Mortgage Bankers/Brokers; Delayed Deposit Services (payday lenders); and Money Transmitters
- Michigan Office of Financial and Insurance Services — State-Chartered Banks; Banks/Savings Banks authorized to exercise trust powers; Business and Industrial Development Companies; DeNovo Banks; Consumer Financial Service Licensees; Credit Card Licensees; Motor Vehicle Installment Seller Licensees; Motor Vehicle Sales Finance Licensees; Regulatory Loan Licensees; Sale of Check Licensees; Active State-Chartered Credit Unions; and Mortgage Licensees/Registrants
- Wisconsin Department of Financial Institutions — State-chartered banks; state-chartered Credit Unions; businesses engaging in various financial endeavors; such as Adjustment Service Companies; Currency Exchanges; Collection Agencies; Insurance Premium Finance Companies; Loan Companies; Sales Finance Companies; sellers of checks; Mortgage Banking; Savings and Loans; and Savings Banks
Securities and Commodities
- U.S. Securities and Exchange Commission — Broker-dealer firms; Registered Self-Regulatory Organizations (SROs), which include the Stock Exchanges and the NASD, Municipal Securities Rulemaking Board (MSRB), and Clearing Agencies (SROs that help facilitate trade settlement); Transfer Agents (parties that maintain records of stock and bond owners); and Securities Information Processors. Administers the securities laws affecting investment companies and investment advisors
- Commodity Futures Trading Commission — Futures Commission Merchants; Commodity Pool Operators; Commodity Trading Advisors; Introducing Brokers, Contract Markets, derivatives Transaction Execution Facilities, Derivative Clearing Organizations, and the National Futures Association (NFA). Contract Markets and the NFA are SROs. Jurisdiction includes futures and options and CFTC registrants may or may not be broker/dealers
- National Futures Association — This site provides links to regulatory programs on deratives, securities, and brokerage.
- Illinois Securities Department — Regulates salespersons/agents; investment advisors; investment advisor representatives; business brokers; mutual funds; loan brokers; business opportunities; and unit investment trusts (a specialized investment company that purchases a fixed portfolio of stocks, bonds, or other securities)
- Indiana Securities Division — Registered mortgage loan brokers; investment advisors; investment advisor representatives; franchises; collection agencies; and continuing care facilities
- Iowa Securities Bureau — Securities sales agents and dealers
- Michigan Office of Financial and Insurance Services — Investment advisers; securities broker/dealers; finders; and agents
- Wisconsin Department of Financial Institutions — Securities sales agents; investment advisor representatives; and licensed broker/dealers
- Illinois Department of Financial & Professional Regulation (Division of Insurance) — Insurance or surety companies, including a corporation, company, partnership, association, society, order, individual or aggregation of individuals engaging in or proposing or attempting to engage in any kind of insurance or surety business, including the exchanging of reciprocal or inter-insurance contracts between individuals, partnerships and corporations.
- Indiana Department of Insurance — All domestic, foreign, and alien insurance companies authorized to do business in Indiana. All persons, firms, partnerships, corporations, associations, orders, societies, and systems and associations operating as Lloyds, interinsurers, or individual underwriters to make insurance under Indiana law which are doing or attempting to do, or which are representing that they are doing an insurance business in Indiana, or which are in process of organization for the purpose of doing or attempting to do such business.
- Iowa Division of Insurance — All insurance business transacted in Iowa by insurers, including health maintenance organizations and mutual hospital and health service corporations.
- Michigan Office of Financial and Insurance Services — Producers; insurers; premium finance companies; Blue Cross Blue Shield of Michigan; HMOs; Medicare HMOs; no fault certification; personal automobile insurers; pre-licensing schools; surety companies; surplus lines insurers; third party administrators; workers' compensation insurers; limited liability pools; fraternal benefit societies; nonprofit health care corporations; risk retention groups; and nonprofit dental care corporations.
- Wisconsin Office of the Commissioner of Insurance — Agents; insurers and mutual insurers licensed to do business in Wisconsin; fraternal societies; health care plans; motor club services; risk sharing plans; school benefit plans; service corporations; surety companies; town mutuals; workers' compensation; risk retention groups; and risk purchasing groups.