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Registration Resources

North American Securities Administrators Association (NASAA) – The oldest international organization devoted to investor protection, NASAA is a voluntary association of 65 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, Canada, and Mexico. Any individual or organization who wishes to protect themselves from securities fraud will find the information on this site useful.

Securities and Exchange Commission (SEC)– This federal agency, created by the Securities Exchange Act of 1934, is charged with upholding and enforcing the Securities Act of 1933. The statutes which the SEC enforces are designed to promote full disclosure to the investor and create an atmosphere of fair trade.

Federal Trade Commission (FTC)– The FTC enforces a variety of federal antitrust and consumer protection regulations. The Commission seeks to ensure that the nation’s markets function competitively, and are vigorous, efficient, and free of undue restrictions. The Commission also works to enhance the smooth operation of the marketplace by eliminating acts or practices that are unfair or deceptive. In general, its efforts are directed toward stopping actions that threaten consumers’ opportunities to exercise informed choice.

Financial Industry Regulatory Authority (FINRA)– This non-profit organization was established by the Securities and Exchange Commission and the Investment Banker’s Conference. Nearly every broker-dealer firm and investment bank dealing in the over-the-counter (OTC) market is registered with the FINRA.

American Association of Retired Persons (AARP) 

Certified Financial Planner Board of Standards

Commodity Futures Trading Corporation (CFTC) 

Investor Protection Trust (IPT)

National Futures Association (NFA) 

Small Business Administration (SBA)

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