Securities Regulations Advice for the Individual Investor
This site is designed to assist investors who have lost money. The SEC, NASD and Securities Law Information Center helps investors document their cases in order to best explain how their funds may have been improperly managed. Clients can then follow up on their own or with a securities lawyer or law firm in an attempt to recover their losses.
Our goal is to help you:
- Understand the laws and regulations regarding your broker's management of your account
- Determine what options you have
- Prepare your case
- Understand the arbitration process for recovering money
This web site has been designed to provide you with tips and resources for researching your case. We invite you to explore the site using the links to the left, or contact us by filling in the form below.
The Financial Industry Regulatory Authority (FINRA) is the self-regulatory agency for stockbrokers in the United States. It sets rules for brokers and hosts most of the arbitrations between investors and brokers, and securities lawyers are often present at the proceedings. FINRA was created in July 2007 and took over the duties of the old National Association of Securities Dealers (NASD).
The Securities and Exchange Commission (SEC) is the main regulatory arm of the federal government in the financial industry. It sets and enforces rules, and is charged with ensuring the integrity of the markets. The SEC does not work for individual investors; it is concerned with "big picture" questions.