Investor Resources

American Association of Individual Investors -- The American Association of Individual Investors specializes in providing education in the area of stock investing, mutual funds, portfolio management and retirement planning

FINRA -- Financial Industry Regulatory Authority. website. - Industry rules for brokers, investor alerts, explanation of regulatory systems.

New York Stock Exchange -- The NYSE website. You can search for stock listings, companies, market information, and delayed quotes.

S.E.C. -- Securities and Exchange Commission. Complaint assistance for investors, current news, and searchable databases. "..The investors Advocate."

Securities Class Action Clearinghouse -- The Stanford Clearinghouse offers investors, the judiciary, policymakers, and the media a powerful new research tool that provides a deep and careful look into the workings of class action litigation.

North American Securities Administrators Association (NASAA) -- The oldest international organization devoted to investor protection. Any individual or organization who wishes to protect themselves from securities fraud will find the information on this site useful.

The Securities and Exchange Act of 1934 - full text

Hiring an Investment Professional

About Pension Plans

Difference between FINRA and SEC

Securities and Exchange Commission resources

SEC News Digest

SEC Litigation Releases

Trading Suspensions imposed by the Securities and Exchange Commission

SEC Enforcement Division

SEC Enforcement Actions

SEC Complaint Center - can help you file complaints about stockbrokers and investment advisors

SEC Investor Alerts

SEC Market Regulation Legal Bulletins

Compliance Guide for Registration of Brokers and Dealers

SEC Division of Investment Management

SEC's guide to evaluating Brokers and Advisors

SEC's guide to selecting a broker, choosing an intial investment, and addressing investment problems.

SEC guide to questions to ask your broker or advisor

Securities and Exchange Commission's EDGAR system.

FINRA resourcesThe Financial Industry Regulatory Authority - FINRA

FINRA's Regulatory Enforcement

FINRA Arbitration and Mediation

Individual Investor Info