Investor Alerts

FINRA: The Financial Industry Regulatory Aguthority (FINRA) is the largest independent regulator for a securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,540 brokerage firms, about 163,675 branch offices and approximatley 631,725 registered securities representatives.

INVESTOR ALERTS (FINRA):


RISK METER (FINRA): See whether you share characteristics and behavior traits that have been shown to make some investors vulnerable to investment fraud.

SCAM METER (FINRA): The Scam Meter will help you tell if an investment you are thinking about might be a scam.

BROKER CHECK (FINRA): An overview of an Advisor or FINRA-Registered firm.


NORTH AMERICAN SECURITIES ADMINISTRATORS ADMINISTRATION (NASAA): The North American Securities Administrators Association (NASAA) is a membership organization of the 66 state, provincial and territorial securities administrators in the 50 states, the District of Columbia, Canada, Mexico, and Puerto Rico. In the United States, NASAA is the voice of the 50 state securities agencies responsible for grass-roots investor protection and efficient capital formation. The Canadian Securities Administrators (CSA) is the umbrella organization representing the 13 provincial and territorial securities commissions.

INVESTOR ALERTS (NASAA):  Various Alerts and Tips for Investors.