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U.S. Government Resources
- Investor Protection Trust (IPT)
- The non-profit Investor Protection Trust provides independent, objective information needed by consumers to make informed investment decisions. Founded in 1993, IPT operates programs under its own auspices, including Financial Literacy 2001, and also uses grants to underwrite important initiatives carried out by other organizations, such as the Investing Online Resource Center.
- National Futures Association (NFA)
- Includes investor services, news and alerts, and dispute resolution procedures.
- North American Securities Administrators Association (NASAA)
- International organization consisting of state and provincial securities agencies in the United States, Canada, and Mexico. Includes directory of regulators with links.
- Stanford Securities Class Action Clearinghouse
- The Stanford Securities Class Action Clearinghouse provides detailed information relating to the prosecution, defense, and settlement of federal class action securities fraud litigation. The Clearinghouse maintains an Index of Filings of issuers that have been named in federal class action securities fraud lawsuits since passage of the Private Securities Litigation Reform Act of 1995. The Clearinghouse also contains copies of complaints, briefs, filings, and other litigation-related materials filed in these cases.
- Commodity Futures Trading Commission (CFTC)
- an independent agency of the United States Government. CFTC website includes alerts, news, and public information.
- 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. Department of Justice Home Page (DOJ)
- U.S. Department of Justice: Antitrust Division
- 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.
- U.S. Securities and Exchange Commission - Filings
- search for company filings on the EDGAR database.