Regulatory and Investor Protection 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 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.
  • U.S. Securities and Exchange Commission (“SEC”)
    • SEC Investment Advisor Public Disclosure
    • SEC Administrative Proceedings
    • EDGAR
    • Investor.gov

• North American Securities Administrators Association (“NASAA”)
  • Investor Bill of Rights
• American Association of Individual Investors
• New York Stock Exchange
• Securities Class Action Clearinghouse

Financial & Market Links

• Google Finance
• Yahoo! Finance
• MSN Money
• Morningstar