"Only two things are infinite, the universe and human stupidity, and I'm not sure about the former."
- Albert Einstein

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Regulations on Investor Protection

Learn how government regulations can help protect your investment ...

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Investor Education and Advocacy

The SEC’s Office of Investor Education and Advocacy provides a variety of services and tools to address the problems and questions you may face as an investor. The office helps investors to avoid fraud.

• File a complaint or ask a question
• Check out investment advisors and brokers
• Request public documents
• Investor alerts and bulletins

Education Is Key to Protection

Investor protection is an integral part of FINRA’s mission. It helps investors spot the red flags of fraud and identity theft, and avoid the persuasion tactics of fraudsters.

• Check out the latest Investor Alerts
• Know about the types of fraud and tactics
• Ask the right questions and verify the answers when investing
• How to safeguard your identity
  

The Voice of State to Put Investors First

NASAA has protected investors from fraud for 100 years. Securities are sold locally by professionals who are licensed in every state where they conduct business.

• Each year con artists discover new ways to fleece the public.
• Many of the age-old scams still work to cheat victims with an opportunity that sounds too good to be true,
• Check out NASAA’s fraud center.

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Check Out Your Advisor And Firm

It is important for investors to find out an advisor's background and possible past violations or complaints. There’s no reason not to check

• if an advisor or firm is registered as brokers or investment advisers
• any regulatory actions disclosed
• about a broker's experience
• advisor's experiences, licenses, and certifications
  

Consumer Financial Protection

CFPB is a U.S. government agency that aim to make consumer financial markets work for consumers. It protects consumers from unfair, deceptive, or abusive practices and take action against companies that break the law.

• Submit a complaint
• Payments to harmed consumers
• Get answers to money questions
• Reach your financial goals

Tax Scams & Consumer Alerts

Thousands of people have lost millions of dollars and their personal information to tax scams and fake IRS communication.

• IRS telephone scams
• Email, phishing, and malware schemes
• Identity theft email scam "update your IRS e-file"
• Tax refund scam artists posing as taxpayer advocacy panel

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