Washington State Department of Financial Institutions

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The Washington State Department of Financial Institutions (DFI) regulates a variety of financial service providers such as banks, credit unions, mortgage brokers, consumer loan companies, payday lenders, and securities brokers and dealers. In addition to posting information about licensees and administrative actions, DFI’s Web site features consumer tips on a variety of financial fraud-related topics and the agency promotes financial literacy through a variety of media and outreach events and activities. The mission of the DFI Securities Division is "To protect the investing public and promote confidence in the capital markets." This mission is accomplished through a variety of regulatory and enforcement tools from reviewing offerings and licensing investment professionals to investigating complaints and bringing enforcement actions.

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