Resources
Federal Regulators
- Board of Governors of the Federal Reserve System
- Consumer Financial Protection Bureau (“CFPB”)
- Federal Trade Commission (“FTC”)
- Office of the Comptroller of the Currency (“OCC”)
- Pension Benefit Guaranty Corporation (“PBGC”)
- U.S. Commodity Futures Trading Commission (“CFTC”)
- U.S. Department of the Treasury
- U.S. Securities and Exchange Commission (“SEC”)
Self-Regulatory Organizations
- Financial Industry Regulatory Authority (“FINRA”)
- Municipal Securities Rulemaking Board (“MSRB”)
- National Futures Association (“NFA”)
- Public Company Accounting Oversight Board (“PBAOB”)
State Regulators
- North American Securities Administrators Association (“NASAA”)
- California Department of Business Oversight
- Florida Office of Financial Regulation
- Georgia Division of Business Services and Business Regulation
- Illinois Securities Department
- Massachusetts Securities Division
- New Jersey Bureau of Securities
- New York Investor Protection Bureau
- Pennsylvania Department of Banking and Securities
- Puerto Rico Commissioner of Financial Institutions
- Texas State Securities Board
International Regulators
- European Securities and Markets Authority (“ESMA”)
- The International Organization of Securities Commissions (“IOSCO”)
Argentina
Brazil
Canada
Colombia
Costa Rica
Dominican Republic
Mexico
Peru
Venezuela
United Kingdom
Other Resources
- Alliance for Investor Education (“AIE”)
- American Association of Individual Investors (“AAII”)
- Financial Crimes Enforcement Network (“FinCEN”)
- Fraud.org
- Investor.gov
- Investor Protection Trust (“IPT”)
- MyMoney.gov
- SaveAndInvest.org
- Securities Industry and Financial Markets Association (“SIFMA”)
- The Options Industry Council (“OIC”)