U.S. Stockbrokers and Online Brokerage Firms
U.S. Government Resources
Federal Trade Commission Home Page (FTC)
- Working for Consumer Protection and a Competitive Marketplace. The FTC site includes news and alerts, consumer protection and anti-trust information.
- FINRA Check the Background of Your Investment Professional
- FINRA BrokerCheck is a free online tool to help investors check the professional background of current and former FINRA-registered securities firms and brokers. It should be the first resource investors turn to when choosing whether to do business with a particular broker or brokerage firm.
- FINRA Guide to Understanding Securities Analyst Recommendations
- FINRA Rules & Regulation
- The Financial Industry Regulatory Authority (FINRA), is the largest non-governmental regulator for all securities firms doing business with the United States public. All told, FINRA oversees nearly 5,100 brokerage firms, about 173,000 branch offices and more than 665,000 registered securities representatives.
- U.S. Securities and Exchange Commission (SEC)
- The official federal agency website includes news, legal releases and reports, investor education material, and the EDGAR database of corporate disclosure reports.
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