Regulatory Links
- Financial Industry Regulatory Authority (“FINRA”)
- FINRA Arbitration Awards
- Use this tool to research past FINRA arbitration awards.
- FINRA Disciplinary Actions
- Use this tool to research past FINRA disciplinary actions.
- FINRA BrokerCheck
- Look up a brokerage firm or individual broker on FINRA BrokerCheck. It’s a free tool to help investors research the backgrounds of investment professionals and firms. According to FINRA, it should be the first resource you turn to when choosing whether to start or continue doing business with a particular individual or firm.
- FINRA Fund Analyzer
- FINRA’s Fund Analyzer offers information and analysis on over 18,000 mutual funds, exchange traded funds (ETFs), and exchange traded notes (ETNs). The tool estimates the value of the funds and the impact of fees and expenses on your investment, and also allows you to look up applicable fees and available discounts for funds.
- FINRA Risk Meter
- Use the FINRA Risk Meter to see whether you share characteristics and behavior traits that have been shown to make some investors vulnerable to investment fraud.
- FINRA Scam Meter
- “If it sounds too good to be true, it probably is.” Answer four questions and the FINRA Scam Meter will help you tell if an investment opportunity might be a scam.
- FINRA Investor Knowledge Quiz
- FINRA surveyed investors to get an idea of what people know—and what people may not know—about investing. This quiz includes some of the questions from their survey, and explains the correct answers. You can find additional information on the quiz questions and other topics in FINRA’s Investor Information site.
- FINRA Arbitration Awards
- U.S. Securities and Exchange Commission (“SEC”)
- North American Securities Administrators Association (“NASAA”)
Legal Links
Financial & Market Links
