Want to learn more? Here are some national websites…

  • NASAA’s Fraud Awareness Quiz .  Take the 12-question quiz and learn what you can do to avoid becoming a victim of investment fraud.
  • Organized in 1919, the North American Securities Administrators Association ( NASAA ) is the oldest international organization devoted to investor protection.  NASAA is a voluntary association whose membership consists of 67 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Canada, and Mexico.
  • The U.S. Securities and Exchange Commission ( SEC ) is a federal government agency with the responsibility of administering federal securities laws.  The mission of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.  You can check on the background of your Investment Adviser or Broker Dealer, get investor education information and fraud alerts.
  • The Federal Trade Commission ( FTC ) deals with issues that touch the economic life of every American. It is the only federal agency with both consumer protection and competition jurisdiction in broad sectors of the economy.
  • The Financial Industry Regulatory Authority ( FINRA ) is the largest independent regulator for all securities firms doing business in the United States. Overseeing nearly 4,550 brokerage firms, 163,500 branch offices and 631,110 registered securities representatives, their chief role is to protect investors by maintaining the fairness of the U.S. capital markets.
  • Congress created the Commodity Futures Trading Commission ( CFTC ) in 1974 as an independent agency with the mandate to regulate commodity futures and option markets in the United States. The CFTC’s mission is to protect market users and the public from fraud, manipulation, abusive practices and systemic risk related to derivatives that are subject to the Commodity Exchange Act, and to foster open, competitive, and financially sound markets.
  • The Investor Protection Trust ( IPT ) provides independent, objective information to help consumers make informed investment decisions. Founded in 1993 as part of a multi-state settlement to resolve charges of misconduct, IPT serves as an independent source of non-commercial investor education materials. IPT operates programs under its own auspices and uses grants to underwrite important initiatives carried out by other organizations.
  • The National Endowment for Financial Education® ( NEFE® ) is the only private, nonprofit, national foundation wholly dedicated to improving the financial well-being of all Americans.
  • Jump$tart is a national coalition of organizations dedicated to improving the financial literacy of pre-kindergarten through college-age youth by providing advocacy, research, standards and educational resources. Jump$tart strives to prepare youth for life-long successful financial decision-making.
  • The Investment Company Institute ( ICI ) is the national association of U.S. investment companies, including mutual funds, closed-end funds, exchange-traded funds (ETFs), and unit investment trusts (UITs).
  • National Futures Association ( NFA ) is the industrywide, self-regulatory organization for the U.S. futures industry. Membership in NFA is mandatory, assuring that everyone conducting business with the public on the U.S. futures exchanges must adhere to the same high standards of professional conduct.
  • The U.S. Small Business Administration ( SBA ) dedicates its energy and resources to providing support to small businesses and small-business owners across the nation.
  • The Securities Industry/Regulatory Council on Continuing Education ( CE Council ) has advisory and consultative responsibilities with regard to the development, implementation and ongoing operation of the Securities Industry Continuing Education Program.  The Council is comprised of industry members from broker-dealers, representing a broad cross section of industry firms, and representatives from Self-Regulatory Organizations. The Council also includes liaisons from the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA).
  • Public Investors Arbitration Bar Association ( PIABA ) is a national bar association whose members represent investors in disputes with the securities industry. The mission of PIABA is to promote the interests of the public investor in securities and commodities arbitration by protecting public investors from abuses in the arbitration process, such as those associated with document production and discovery; making securities and commodities arbitration as just and fair as systematically possible; and creating a level playing field for the public investor in securities and commodities arbitration.

For more information or to request a presentation or informational exhibit at a community event, please call 587-7400.