The following websites provide useful information for investors and individuals (these will open in a new window):
SECURITIES REGULATION and INDUSTRY ORGANIZATIONS
FINRA (Financial Industry Regulatory Authority) - Self-regulatory organization that oversees stockbrokers and broker-dealers; largest independent regulator for securities firms in the U.S.
Kansas Securities Commissioner - regulates securities sold in Kansas, as well as stockbrokers, broker-dealers, and investment advisors that sell securities in the state.
BrokerCheck - check the history of your stockbroker or broker-dealer.
The Investor’s Clearinghouse - dedicated to facilitating greater understanding of investing, investments and the financial markets among current and prospective investors of all ages.
