Investing isn’t rocket science, but it can be challenging. Learn the process of investing and become a wise and safe investor.

Securities Regulator

Be sure to contact your State Securities Regulator to check out your broker and/or a specific investment before you invest. Contact your State Securities Regulator

Getting Help Booklet

Check out IPT’s and Kiplinger’s “Getting Help With Your Investments” booklet for information on choosing a financial advisor, checking out your broker, and other protection topics.

State Securities Regulators

State Securities Regulators have protected investors from fraud for nearly 100 years. Securities markets are global but securities are sold locally by professionals who are licensed in every State where they do business. State Securities Regulators work within the State government to protect investors and help maintain the integrity of the securities industry.

Your State Securities Regulator can:

  • Verify a broker-dealer of investment advisor is properly licensed.
  • Provide information about: prior run-ins with regulators that led to disciplinary or enforcement actions, serious complaints that may have been lodged against them, their educational background and their work history.
  • Provide a computer link or telephone number or address where you can file a complaint
  • Provide non-commercial investor education and protection materials

For contact information for your State Securities Regulator, visit the NASAA website and click on “Contact Your Regulator.”

North American Securities Regulators Association (NASAA)

NASAA is the voice of State Securities Agencies responsible for efficient capital formation and grass-roots investor protection. Their fundamental mission is protecting consumers who purchase securities or investment advice, and their jurisdiction extends to a wide variety of issuers and intermediaries who offer and sell securities to the public. The NASAA website provides a variety of investor protection resources:

Protect Yourself Video Segments

The Protect Video Segments are designed to educate viewers about common investment scams.