DOB: Related Securities Web Sites

Links To Related Securities Web Sites

Bank and Credit Union Links | Consumer Credit Links


Government Agencies:

The Securities and Exchange Commission (SEC) is a federal government regulatory agency with responsibility for administering the federal securities laws. The SEC also regulates firms engaged in the purchase or sales of securities, people who provide investment advice and investment companies. The SEC is headquartered at 100 F Street, NE, Washington, DC 20549. Investor information is available at (800) SEC-0330 or (202) 551-6551. The Boston Regional Office is located at 33 Arch Street, 23rd Floor, Boston, MA 02110. The Boston Regional Office telephone number is (617) 573-8900 and its e-mail address is boston@sec.gov.   The SEC site includes the EDGAR Database of Corporate Information. EDGAR is a searchable database of quarterly, annual and other reports on publicly traded and other companies.

The Federal Trade Commission (FTC) acts to prohibit unfair or deceptive practices in commerce. As part of its responsibility, the agency addresses telemarketing scams, investment frauds and franchises and business opportunities. The FTC is headquartered at 600 Pennsylvania Ave., NW, Washington, D.C. 20580. Its main telephone number is (202) 326-2222. The FTC's Northeast Region office is located at 1 Bowling Green, New York, NY 10004. Consumers may contact the FTC toll-free at 877-FTC-HELP (382-4357).

The Commodity Futures Trading Commission (CFTC) is a federal government regulatory agency that oversees the trading of commodity futures and option contracts in the United States. Its mission is to protect customers and monitor markets to detect and prevent commodity price distortions and market manipulations. The CFTC is headquarted at Three Lafayette Centre, 1155 21st Street, N.W., Washington, D.C. 20581. Its main telephone number is (202) 418-5000.

The federal government's Consumer Information Center offers publications on investing, mutual funds and financial planning.

Other Organizations:

The North American Securities Administrators Association (NASAA) provides contact information on state securities regulators, and promotes investor protection through various projects.  NASAA  is a voluntary association whose membership consists of 67 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Canada, and Mexico. Its office is located at 750 First Street, N.E., Suite 1140, Washington, DC 20002.  NASAA's main telephone number is (202) 737-0900.

FINRA (the Financial Industry Regulatory Authority) is a self-regulatory organization established pursuant to the Securities Exchange Act of 1934.  Among other things, FINRA registers firms, writes rules to govern their behavior, examines them for compliance and disciplines those that fail to comply.  FINRA's District 11 office, with responsibility for Connecticut, is located at 99 High Street, Suite 900, Boston, MA 02110. The District 11 office telephone number is (617) 532-3400.  FINRA offers Investor Alerts on its Web site for the public's education.

The Securities Investor Protection Corporation (SIPC) protects customers of broker-dealers against losses caused by the financial failure of a broker-dealer, but not against a change in the market value of a customer's securities. SIPC is a nonprofit organization funded by its member broker-dealers; it is not a government agency nor a regulatory organization.

The Investor Protection Trust (IPT) is an independent source of non-commercial investor education material. The IPT also assists in the prosecution of securities fraud.

The American Association of Retired Persons (AARP) serves people 50 and older through information and education, advocacy and community services provided by a network of local chapters and volunteers. The AARP, among its various activities, offers advice on mastering money skills and financial planning.

The National White Collar Crime Center is a nationwide support network for agencies involved in preventing and prosecuting high tech and economic crime. Its web site links to anti-fraud resources and information.