• Checking the backgrounds of individual securities brokers and advisors who sell investments - Financial Advisors, Investment...
  Checking the backgrounds of individual securities brokers and advisors who sell investments - Financial Advisors, Investment Counselors, and the Financial Industry > Regulation of Financial Advisors and Investment Advisers - Financial Articles, Concerning the backgrounds of individual securities brokers and advisors who sell investment products, the National Association of Securities Dealers, Inc. NASD offers assistance in checking their backgrounds.
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• Finding state regulators of securities brokers, investment advisors, insurance agents, and insurance brokers - Financial Adv...
  Finding state regulators of securities brokers, investment advisors, insurance agents, and insurance brokers - Financial Advisors, Investment Counselors, and the Financial Industry > Regulation of Financial Advisors and Investment Advisers - Financial Articles, Each state may have one or more government organizations that regulate “advisors” who offer securities, insurance, and other services. The various states differ in how their regulatory functions are organized. Some have centralized agencies and some have multiple agencies that split regulatory responsibilities.
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• On-line information about commodities brokers and futures brokers - Financial Advisors, Investment Counselors, and the Finan...
  On-line information about commodities brokers and futures brokers - Financial Advisors, Investment Counselors, and the Financial Industry > Regulation of Financial Advisors and Investment Advisers - Financial Articles, Commodities and futures brokers and their firms can be checked through the on line system of the National Futures Association.
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