Resources
For Broker-Dealers, Investment Advisers and Representatives:
U.S. Securities and Exchange Commission
FINRA (Financial Industry Regulatory Authority)
MSRB (Municipal Securities Rulemaking Board)
North American Securities Administrators Association
The Securities Lawyer’s Deskbook – published by The University of Cincinnati College of Law
A Stockbroker's Guide to Regulatory Investigations – published by Joel R. Beck, Esq.
For Investors:
BrokerCheck – Check the background of your broker
U. S. Securities and Exchange Commission – Investor Information
FINRA (Financial Industry Regulatory Authority) Investor Information
FINRA Dispute Resolution – Arbitration and Mediation
For Small Businesses:
U.S. Small Business Administration
Business.gov – The Official Business Link to the US Government