Investor Resources

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State Regulatory Agencies

Alabama

Alaska

Arizona

Arkansas

California

Colorado

Connecticut

Delaware

Dist. of Columbia

Florida

Georgia

Hawaii

Idaho

Illinois

Indiana

Iowa

Kansas

Kentucky

Louisiana

Maine

Maryland

Massachusetts

Michigan

Minnesota

Mississippi

Missouri

Montana

Nebraska

Nevada

New Hampshire

New Jersey

New Mexico

New York

North Carolina

North Dakota

Ohio

Oklahoma

Oregon

Pennsylvania

Puerto Rico

Rhode Island

South Carolina

South Dakota

Tennessee

Texas

Utah

Vermont

Virginia

Washington

West Virginia

Wisconsin

Wyoming

Federal Regulatory Agencies

SEC Home Page

SEC Enforcement Division

SEC News & Public Statements

SEC Litigation Releases

SEC ALJ Decisions

SEC Administrative Proceedings

SEC Investor Assistance and Complaints

SEC Commission Opinions

US Department of Treasury, Bureau of the Fiscal Service

Consumer Financial Protection Bureau

Exchanges and Related Sites

New York Stock Exchange

NASDAQ

NASDAQ OMX

Chicago Stock Exchange

Chicago Mercantile Exchange

Chicago Board Options Exchange

Deutsche Börse

London Stock Exchange

Australian Securities Exchange

Singapore Exchange

Hong Kong Exchange

Tokyo Stock Exchange

Financial Industry Regulatory Authority (FINRA)

FINRA Dispute Resolution

FINRA Enforcement Actions

NYSE Complaint Process

Investor-Related Organizations

Alliance for Investor Education

American Association of Individual Investors

American Savings Education Council

Certified Financial Planner Board of Standards, Inc.

Employee Benefit Research Institute

National Council on Economic Education

Investor Protection Trust

Jump$tart Coalition

National Association of Investors Corp.

The Bond Market Association

National Endowment for Financial Education

National Futures Association

Dept. of Commerce International ADR Primer

Other Securities-Related Websites

National Securities Clearing Corp.

North American Securities Administrators Association