Helpful Forms and Information
Securities Resources Links
The world’s largest electronic stock market.
Web site for the New York Stock Exchange.
The primary mission of the US Securities and Exchange Commission (SEC) is to protect investors and maintain the integrity of the securities markets.
All foreign and domestic companies are required to file registration statements, periodic reports and other forms electronically through EDGAR. Anyone can access this information for free. Instructions for searching the EDGAR database are available on this site.
Investment and financial news from Reuters.
A federal agency that works to protect consumers and maintain a competitive marketplace.
The Financial Industry Regulatory Authority (FINRA) is the successor to the NASD. It is the largest non-governmental regulator for all securities firms doing business in the United States. FINRA was created in July 2007 through the consolidation of the National Association of Securities Dealers (NASD) and the member regulation, enforcement and arbitration operations of the New York Stock Exchange.
The success of securities arbitration depends on the quality of the arbitrators who hear and decide the disputes presented by the parties. Most anyone with any business experience can qualify to become an Arbitrator. You will join a group of dedicated individuals serving the investing public and the securities industry.