The following websites provide useful information for investors and individuals (these will open in a new window):
SECURITIES REGULATION and INDUSTRY ORGANIZATIONS
- FINRA (Financial Industry Regulatory Authority) – Self-regulatory organization that oversees stockbrokers and broker-dealers; largest independent regulator for securities firms in the U.S.
- SEC (Securities and Exchange Commission) – Federal securities market and investment advisor regulator
- Missouri Secretary of State – Securities Division – regulates securities sold in Missouri, as well as stockbrokers, broker-dealers, and investment advisors that sell securities in the state.
- Kansas Securities Commissioner – regulates securities sold in Kansas, as well as stockbrokers, broker-dealers, and investment advisors that sell securities in the state.
- BrokerCheck – check the history of your stockbroker or broker-dealer.
- Investment Advisor Public Disclosure – learn about any Registered Investment Advisor.
- SIFMA (Securities Industry and Financial Markets Association)
- NASAA (North American Securities Administrators Association)
- National Futures Association
- PIABA (Public Investors Arbitration Bar Association) – an association of attorneys who represent investors in securities and investment related arbitration.
- SIPC (Securities Investor Protection Corporation)
- Adviser Background Check – a private company that provides background information on investment advisers.
- Securities Lawyer’s Deskbook
- Securities Class Action Clearinghouse
- Securities Arbitration Commentator
- The Typology of Financial Scandals and Ponzi (Pyramid) Schemes – article by Sam Vaknin, Ph. D.
SECURITIES INDUSTRY NEWS
- The Investor’s Clearinghouse – dedicated to facilitating greater understanding of investing, investments and the financial markets among current and prospective investors of all ages.
- Certified Financial Planner Board of Standards
- Securities Industry News
- Investment Advisor
- National Association of Investment Professionals
- Financial Planning Association
FINANCIAL NEWS and INFORMATION