Resources

Financial Industry Regulatory Authority (FINRA)

FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, brokerage firms and individual brokers.

http://www.finra.org

Financial Industry Regulatory Authority – Brokercheck

BrokerCheck® is part of FINRA’s ongoing efforts to help investors make informed choices about the FINRA-registered brokers and brokerage firms with which they may wish to do business, as well as to provide the public with access to information about formerly registered brokers who, although no longer in the securities industry in a registered capacity, may work in other investment-related industries or may seek to attain other positions of trust with potential investors and about whom investors may wish to learn relevant information. The information contained within these reports is collected through the securities industry’s registration and licensing process.

http://brokercheck.finra.org/Search/Search.aspx

National Futures Association (NFA)

National Futures Association (NFA) is the self-regulatory organization for the U.S. derivatives industry, including on-exchange traded futures, retail off-exchange foreign currency (forex) and OTC derivatives (swaps).  NFA has developed and enforced rules, provided programs and offered services that safeguard market integrity, protect investors and help members meet their regulatory responsibilities for more than 30 years.  NFA is a non-profit, independent regulatory organization.

http://www.nfa.futures.org/