Securities Sites of Interest

Securities

North American Securities Administrators Association – NASAA: This voluntary association is devoted to investor protection. Entrepreneurs will find valuable information on franchising and raising capital in the "Corporate Finance" section. Other areas contain important information for small investment advisers and those with an interest in state "blue sky" securities laws. This site also provides a link to each state’s security regulator. NASAA Member Websites.

Securities and Exchange Commission – SEC: The primary mission of the SEC is to protect investors and maintain the integrity of the securities markets. To achieve this, the SEC requires public companies to disclose meaningful financial and other information to the public, which provides a common pool of knowledge for all investors to use to judge for themselves if a company's securities are a good investment. The website also includes the EDGAR database of disclosure documents that public companies are required to file with the Commission.

National Association of Securities Dealers – NASD: This organization provides financial regulatory services; under federal law, virtually every securities firm doing business with the US public is a member of this organization. NASD registers member firms, writes rules to govern their behavior, examines them for compliance and disciplines those that fail to comply. NASD also provides education to industry professionals and investors. Additionally, it operates a large securities dispute resolution forum with arbitration and mediation programs.

National Association of Securities Dealers – Regulation – NASDR: NASD regulates the securities industry and virtually all US stockbrokers and brokerage firms. This site provides NASD rules as well as information regarding professional development, qualification, education, regulation systems and broker/ adviser information.

National Association of Securities Dealers Automated Quotations – NASDAQ

Federal Trade Commission – FTC: The FTC enforces a variety of federal antitrust and consumer protection laws to ensure that the nation's markets function competitively. The Commission also works to enhance the smooth operation of the marketplace by eliminating acts or practices that are unfair or deceptive. The site also provides the telemarketing rules.

Securities Lawyer’s Deskbook: The site provides the full text of many federal securities laws and regulations.

Public Investors Arbitration Bar Association (PIABA): The PIABA is a national bar association whose member attorneys represent investors in disputes with the securities industry.  This site offers investor education materials as well as advice on locating an attorney.

Financial Planning

The Financial Planning Association is a community that fosters the value of financial planning and advances the financial planning profession. FPA's strategy to accomplish its objectives involves welcoming all those who advance the financial planning process and promoting the Certified Financial Planner (CFP®) marks as the cornerstone of the financial planning profession. You may also access The Financial Planning Association of Georgia for state-specific information.

Certified Financial Planner Board of Standards, a professional regulatory organization, fosters professional standards in personal financial planning so that the public values, has access to, and benefits from competent and ethical financial planning.