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Investor Protection

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Get More Information on Brokers and Brokerage Firms

• State Securities Regulators 
  Your state securities regulator may be able to provide additional information from state disclosure programs.

Get More Information on Investment Adviser Firms and Individuals

• The Securities and Exchange Commission's (SEC) Investment Adviser Public Disclosure site
  Search for more information on investment adviser firms regulated by the SEC.
  
  
• State Investment Adviser Regulators 
  Contact your state regulator at the North American Securities Administrators Association to check on an individual investment adviser.

Educational Tools for Investors

• Invest Wisely
  FINRA provides essential and useful information on selecting a broker, investing your money and protecting yourself.
  
  
• Investor Center
  FINRA provides useful information for the public on investment choices, resources and tools to manage investments.