Stockbrokers and Online Brokerage Firms
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.
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.
Guide to Understanding Securities Analyst Recommendations
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.
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.