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Brokers, Dealers, Salespersons | New York State Attorney ...
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NASAA How to Check Out Your Broker or Investment Adviser
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14 Feb 2012 Information about brokerage firms and individual brokers is publicly available online and individual investment advisers also is available through each state's securities regulator. A description of the firm's operations, listing its active licenses and registrations, the Search for an investment adviser firm
Securities Division's Response to COVID-19: To read the Division's response efforts to COVID-19, click here.. REGULATORY NOTICES: (1) Reg D Filings: The Arizona Securities Division now provides electronic filing for Regulation D, Rule 506 notices.Upon completion of the form and payment of all applicable fees, an electronic submission receipt will be provided. Securities / Investments | Georgia Department of Banking ... The world of investing is fascinating, often complex, but it can be very profitable. However, unlike the banking world, where deposits are guaranteed by the federal government, stocks, bonds and other securities can lose value. There are no guarantees. By far the best way for investors to protect the money they put into the securities markets is to do research and ask questions. Real Estate Agent vs Broker: The Differences Explained
Ensuring your securities professional is licensed is a critical step to protecting For Broker-Dealers and their Agents (or Registered Sales Representatives), use
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