In addition to the information that can be found on my website (www.spettlaw.com), there are several other websites I recommend where investors can find reliable information to ensure they are getting proper financial advice. The regulatory agencies that act as the investing public’s watchdogs have websites that are very useful to those who want to become informed and educated about investing and to be alerted about pitfalls in the securities markets.
The Financial Industry Regulatory Authority (FINRA) -- a private, independent, non-governmental organization which regulates its member brokerage firms and exchange markets – has a comprehensive website (www.finra.org/Investors) that provides investor education and announcements about the securities industry, including FINRA BrokerCheck®. For free, anyone can use this search tool to look up a stockbroker’s professional background, including any publicly recorded complaints and regulatory actions against the broker.
The U.S. Securities and Exchange Commission (SEC), the division of the federal government whose mission is to protect investors, created a website dedicated to investor education and research (www.investor.gov). The website is a good resource for investors seeking answers to many questions about securities and the financial markets. For example, the website recently posted a bulletin by the SEC Office of Investor Education and Advocacy entitled “13 Things Everyone Should Know About Investing.”
Two other reliable websites for education and research are those of the Investor Protection Institute (www.investorprotection.org) and the North American Securities Administrators Association (www.nasaa.org).
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