Resources

Federal Regulators

Board of Governors of the Federal Reserve System (http://www.federalreserve.gov/)
Consumer Financial Protection Bureau (“CFPB”) (http://www.consumerfinance.gov/)
Federal Trade Commission (“FTC”) (www.ftc.gov)
U.S. Securities and Exchange Commission (“SEC”) (http://www.sec.gov/)

Self-Regulatory Organizations

Financial Industry Regulatory Authority (“FINRA”) (http://www.finra.org/)
Financial Industry Regulatory Authority (“FINRA”) Member List (https://www.finra.org/AboutFINRA/MemberFirms/ListOfMembers/P012909)
Municipal Securities Rulemaking Board (“MSRB”) (http://www.msrb.org/)
Public Company Accounting Oversight Board (“PCAOB”) (http://pcaobus.org/Pages/default.aspx)

State Regulators

North American Securities Administrators Association (“NASAA”) (www.nasaa.org)
Alabama Securities Commission (http://asc.alabama.gov/)
Arkansas Securities Department (http://www.securities.arkansas.gov/)
Florida Office of Financial Regulation (www.flofr.com)
Georgia Office of the Secretary of the State Division of Securities (http://sos.ga.gov/index.php/?section=securities)
Kentucky Department of Financial Institutions (kfi.ky.gov/)
Mississippi Office of the Secretary of State Securities Division (http://www.sos.ms.gov/Securities/Pages/MS-Securities-Laws.aspx)
Tennessee Department of Commerce and Insurance Securities Division (www.tn.gov/commerce/securities-division.html)

Other Resources

American Association of Individual Investors (“AAII”) (http://www.aaii.com/?adv=yes)
Investopedia (http://www.investopedia.com/)

RESOURCES FOR INVESTORS