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|Brochures (Basics On Investing)
|Retirement, Estate Planning & Social Security
|Complaints, Inquiries & Investigations
Investor Education Brochures
(Over 30 topics from the SEC)
What You Need to Know Before Choosing One – Read our questions and answers before deciding on an investment adviser.
Investment Clubs & The SEC
Answers some of the most common questions about the relationship between investment clubs and the SEC.
Investor Education & Assistance (SEC)
Insured & Uninsured Investments (Brochures)
Tips For Online Investing – Limit your losses in fast-moving markets with this timely advice.
Get Info About Companies – To invest successfully, you need to know a lot about the companies you invest in. Here's how.
Get The Facts On Saving & Investing – Our "Road Map" gives basic information to get you started on the road to saving and investing.
International Investing: Get the Facts – This brochure explains the basics
about investing in foreign companies and points out the ways investing abroad
can differ from investing in U.S. companies. (Available in PDF format.)
Available in print
Investment Topics (SEC Table Of Contents)
How to choose a broker, pick an investment, and look out for trouble.
Ask Questions – Questions you should ask about your investments, the people who sell them to you, and what to do if you run into problems.
What investors should know when a company declares bankruptcy.
See Securities For Brochures on Stocks & Mutual Funds
Of Deposit: Tips for Investors
CDs have become more complex in recent years. Don't be dazzled by rising rates. Before you consider investing in a high-yield CD, make sure you fully understand its terms.
Search "Their Investor" section for links on complaints and inquiries. Also provides important information on your legal rights.
State Securities Regulators (All 50 States & DC)
Each state has its own laws and regulations for securities brokers and for all types of securities, including stocks, mutual funds, commodities, real estate offerings, uninsured investment products sold by banks and others. This link is to those officials and agencies that enforce these laws and regulations.
The Investor's Advocate
Describes the SEC's mission, the laws it enforces, and how it works.
The National Association Of Security Dealers
The NASD is an SEC mandated organization with the power to investigate and revoke the licenses of brokers and brokerage firms. To file a complaint against an individual broker or brokerage firm doing in your state see The NASD Office Nearest You.
To find out if an individual broker or brokerage firm has been disciplined by NASD state and federal governments, call their toll-free hotline at (800) 289-9999. They'll also tell you if the firm or broker has lost a lawsuit or had to go to arbitration because of dubious conduct.
The New York Stock Exchange
Has the power to discipline member brokers and brokerage firms.
The North American Security
This trade organization may be able to put pressure on members who behave unethically. They also offers a free copy of "The Investor's Bill of Rights" a booklet that shows how consumers can better protect themselves.
Stock Markets Around The World
For Complaints or inquiries in the US and abroad.
Consumer-SOS/Occupational Licensing Boards
Find Your Local Newspaper, Magazine, Radio & TV Stations
Give them a little bad press and you're bargaining power increases tremendously. Select your state, and then click on your county or city for the proper media to report to. (DC Not Included).
|Brochures On Various Topics
|Laws & Regulations
|Complaints, Inquiries & Investigations
*Security Firms & Investment Advisors
About Settling Trades In Three Days: Introducing T+3
Answers to frequently asked questions about the new, shorter settlement cycle of 3 days.
Before you trade on margin, find out how margin works, the upsides and downsides, and the risks involved.
Rule 144: Selling Restricted and Control Securities
What investors need to know to sell their restricted or control securities and how to get a restrictive legend removed.
SEC's A Plain English Handbook – A guide to companies on how to create clear SEC disclosure documents. Available in print.
Trade Execution: What Every Investor Should Know
Learn the basics of where and how your broker's firm executes its customers' orders, including order routing, payment-for-order-flow, and internalization.
All About Bonds (US News)
Check out their bond page and learn about the various types of bonds, bond calculators and where to invest.
Buying Bonds-What You Need To Know
The Bond Market Association's site will walk you through the steps of buying bonds.
Mini-Tender Offers: Tips for Investors
– Not all tender offers are alike.
Before you surrender your shares in a mini-tender offer, read these tips.
All About Mutual Funds (SEC Table Of Contents)
Learn how mutual funds work, factors to consider before investing, and how to avoid common pitfalls.
Investor Education Brochures (Over 30 topics from the SEC)
Back To Top
Read quarterly, annual, and other reports at this SEC site.
Breaks out the numbers from a company's income statement and balance sheet, along with helpful graphs and pie charts.
Analyzes cash flow, return on equity, inventory turnover, and cash-to-liabilities ratios, among other things.