Ask & Check

• Want to research an investment adviser, stockbroker or company? 

• Need to file a complaint or inquire about a securities enforcement case? 

  
  

• Want information on how to avoid investment fraud?
  

   

• Are you a financial services professional seeking licensing and registration info?

Our Mission 

The goal of this investor education website is to promote wise investing and fraud prevention.  Read more about the mission of your state securities regulator, including the enforcement of securities and investment management laws, oversight of those who offer and sell investments and provide investment advice, and assistance in legitimate capital formation.

Investor Life Events 

 
Get information about investing based upon where you are in life—whether it's the workplace, classroom, military, sandwich generation or retirement. 

Investor Tools