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Related Links |
This page provides links to entities that may be of interest to FINRA Dispute Resolution constituents.
Regulatory and Governmental Links
Commodity Futures Trading Commission (CFTC)
The CFTC is an independent agency with the mandate to regulate commodity futures and option markets in the United States. Its mission is to protect market participants against manipulation, abusive trade practices, and fraud.
FINRA Investor Complaint Center
FINRA is charged with regulating the securities industry and oversees virtually all U.S. stockbrokers and brokerage firms. If you feel you've been defrauded by a broker/brokerage firm, we encourage you to try to work out any problems with the securities firm's compliance management first. But if the firm has not provided a satisfactory response, investors, and others, may file complaints about broker or brokerage firm conduct with FINRA. The award of monetary damages to investors is not available through FINRA. However, an investor may file a damages claim for arbitration and mediation with FINRA Dispute Resolution. An investor is not prohibited from filing both a complaint with FINRA and a claim for damages with FINRA Dispute Resolution.
National Futures Association (NFA)
The NFA is a self-regulatory organization that works in conjunction with government oversight to establish and enforce high standards of business conduct in the futures markets.
North American Securities Administrators Association (NASAA)
NASAA is the trade association representing state securities administrators. There are many state-specific securities laws and regulations with which you may need to be aware. This Site provides a listing of state regulatory contacts, and more.
Securities and Exchange Commission (SEC): Investor Assistance and Complaints
The Securities and Exchange Commission Office of Investor Education and Assistance provides general information and help for investors, including publications, guidance on investing, and more.
Public Disclosure Information
FINRA BrokerCheck
Through FINRA BrokerCheck, investors may request a report of all disclosable information regarding an individual broker or securities firm. This page includes instructions on requesting a report (either online, by phone, by fax, or by mail) and an explanation of the types of disclosable information made available.
National Futures Association (NFA)
The NFA Web Site provides a mechanism to get Commodity Futures Trading Commission (CFTC) registration and NFA membership information and futures-related regulatory and non-regulatory actions contributed by NFA, the CFTC and the U.S. futures exchanges.
Securities and Exchange Commission (SEC)
The SEC also provides a Web page providing tips on how to check out brokers, advisers, and brokerage firms.
Investor-Related Links
American Association of Individual Investors
The American Association of Individual Investors specializes in providing education in the area of stock investing, mutual funds, portfolio management, and retirement planning. The association is an independent not-for-profit corporation formed to assist individuals to become effective managers of their own assets through education and research.
Investor Protection Trust
The Investor Protection Trust (IPT) provides independent, objective information needed by consumers to make informed investment decisions. Founded in 1993 as part of a multi-state settlement to resolve charges of misconduct, IPT's charter consists of two major functions: serving as an independent source of non-commercial investor education materials and assisting in the prosecution of securities fraud. IPT operates programs under its own auspices and uses grants to underwrite important initiatives carried out by other organizations.
National Association of Investors Corporation
The National Association of Investors Corporation (NAIC) teaches individuals how to become successful strategic long-term investors. The association collects and delivers resources enabling individuals to become Better Investors.
FINRA Investor Education
One of FINRA's main goals is to protect the investing public. FINRA provides guidance, resources, and tools to avoid problems and promote safe investing within the ever-changing market environment. Visit FINRA Investor Education to see guidance, publications, and other resources of interest to investors.
International
European Union (EU)
This Web Site includes standard information about various existing national complaint bodies for financial services in the European Union.
International Organization of Securities Commissions (IOSCO)
IOSCO's membership is comprised of international securities regulators working together to promote high standards of securities regulation in order to maintain fair and efficient markets worldwide.
Other Securities-Related Links
Federal Consumer Information Center (FCIC)
The FCIC provides online consumer information on a variety of subjects, including financial services.
Securities Investor Protection Corporation (SIPC)
The Securities Investor Protection Corporation either acts as trustee or works with an independent court-appointed trustee in a missing asset case to recover funds. When a brokerage firm is closed due to bankruptcy or other financial difficulties, the Securities Investor Protection Corporation steps in as quickly as possible and, within certain limits, works to return to you cash, stock and other securities you had at the firm.
Other Exchanges Using FINRA's Forum
View a list of exchanges that FINRA has agreements with for the provision of dispute resolution services.
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