Resources
Federal Regulators
- Board of Governors of the Federal Reserve System
- Consumer Financial Protection Bureau (“CFPB”)
- Federal Trade Commission (“FTC”)
- U.S. Securities and Exchange Commission (“SEC”)
Self-Regulatory Organizations
- Financial Industry Regulatory Authority (“FINRA”)
- Financial Industry Regulatory Authority (“FINRA”) Member List
- Municipal Securities Rulemaking Board (“MSRB”)
- Public Company Accounting Oversight Board (“PCAOB”)
State Regulators
- North American Securities Administrators Association (“NASAA”)
- Alabama Securities Commission
- Arkansas Securities Department
- Colorado Division of Securities
- Florida Office of Financial Regulation
- Georgia Office of the Secretary of the State Division of Securities
- Kentucky Department of Financial Institutions
- Mississippi Office of the Secretary of State Securities Division
- Tennessee Department of Commerce and Insurance Securities Division