Investor Education Resources
FINRA
http://www.finra.org/Investors/index.htm – The Financial Industry Regulatory Authority (“FINRA”) is the primary self-regulatory organization that regulates brokers and brokerage firms. Among its many functions, FINRA also advances issues of investor protection and sponsors the primary arbitration forum for securities disputes. This particular link within FINRA’s website provides an entry into FINRA’s numerous investor alerts and investor educational resources.
FINRA’s BrokerCheck Database:
http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm – By following the prompts within this resource, you can review the work history, licensure and ostensibly the complaint record of a broker/advisor. BrokerCheck can be useful. However, it may not reflect all complaint information due to changing FINRA rules regarding what information a broker or his employer must report to FINRA, and what information will be publicized on this site.
NASAA
http://www.nasaa.org/investor-education/ – The North American Securities Administrators Association (NASAA) is a preeminent investor protection organization whose members include 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. This link to NASAA’s investor education section provides valuable alerts, basic investing information and access to NASAA’s “Fraud Center”.
SEC
http://investor.gov/ – In this segment of its comprehensive website, the SEC provides educational resources ranging from basic information concerning the markets and investments, to more specific information for retirees and for those facing other life events.
Legal
Cornell University Law School, Legal Institute II
http://www.law.cornell.edu/. Free legal information and research.
US Courts
http://www.uscourts.gov/Home.aspx
News/Blogs
Forbes – Bill Singer blog
http://www.forbes.com/sites/billsinger/