Useful Links

FINRA (Financial Industry Regulatory Authority, Inc.)

• FINRA – Regulates broker-dealer firms and their registered representatives
• FINRA Broker Check – Check the Background of Your Investment Professional
• Investor Alerts
• Disciplinary Actions Online
• Arbitration Awards Online
• FINRA Code of Arbitration Procedure

Securities Exchange Commission (SEC)

• SEC – Regulates the U.S. securities industry
• Search for an Investment Adviser
• EDGAR – Search for company filings
• MyMoney.gov – Investor Education
• Investor.gov – Dedicated to Retail Investors
• Avoiding Fraud

Texas State Securities Board

• Texas State Securities Board – Regulates the sale of securities in Texas
• Investor Education
• Life Settlement Contracts: Be Informed!
• Texas Investor Protection Guide
• Top Ten Investor Traps
• Search for Authorized Securities

Texas Department of Insurance

• Texas Department of Insurance – Regulates insurance companies and agents in Texas
• Check agents or agencies
• Check insurance companies
• Zero Premium Life Insurance

Texas Attorney General

• Texas Attorney General – Responsible for enforcement of Texas laws
• Frauds and Scams
• Investments and Securities
• Business Opportunities Scams

National Consumer League’s Fraud Center

• NCLFC – America’s oldest consumer protection organization
• Fraud News
• Investment Fraud

National Association of Insurance Commissioners

• NAIC – Organization of elected or appointed state insurance regulators
• Consumer Information Source

U.S. Commodity Futures Trading Commission (CFTC)

• CFTC – Regulates U.S. futures and options markets
• Fraud Advisories
• Case Status Reports
• Search for Reparations Sanctions
• Search for Administrative Sanctions
• Enforcement Press Releases

National Futures Association (NFA)

• NFA – Self-regulatory organization for the U.S. futures industry
• Check NFA members
• Investor Alerts
• Scams and Swindles
• Investor Newsletter
• Customer Arbitration

Securities Investor Protection Corporation (SIPC)

• SIPC – Works to protect investors in “missing asset” cases
• What You Need to Know About the Claims Process

Federal Deposit Insurance Corporation (FDIC)

• FDIC – Provides insurance protection for some bank deposits
• Is My Account Fully Insured?
• Loan Modification Scam Alert
• Bank Find

National Credit Union Administration (NCUA)

• NCUA – Regulates and insures federal credit unions
• Is My Credit Union Federally Insured?