Investor Education

Check Out Your Broker!

  • For information regarding broker-dealers, broker-dealer agents and investment advisers call the Department’s Consumer Services Office at (866) 275-2677.
  • Check the background of your broker or investment professional  by using Financial Industry Regulatory Authority (FINRA) BrokerCheck. FINRA is also a resource for Investor Alerts and investor education and tools
  • Check out your commodity broker .  A free service from the National Futures Association’sBackground Affiliation Status Information Center (BASIC). Whether you are an investor thinking about opening a futures account or an NFA Member contemplating a new business relationship, BASIC can be a valuable resource for you. BASIC contains Commodity Futures Trading Commission (CFTC) registration and NFA membership information and futures-related regulatory and non-regulatory actions contributed by NFA, the CFTC and the U.S. futures exchanges.

Check Out Your Financial Services Professional

Information regarding state registered investment advisers, SEC registered investment advisers

Last updated: Oct 28, 2019 @ 3:40 pm