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AARP: http://www.aarp.org/index.html
AARP is a nonprofit membership organization dedicated to addressing the needs and interests of persons 50 and older. Through information and education, advocacy and service, we seek to enhance the quality of life for all by promoting independence, dignity and purpose.
Bloomberg: http://www.bloomberg.com/welcome.html
Bloomberg L.P. is an information services, news and media company serving customers around the world.
Florida Department of Banking and Finance: http://www.flofr.com/licensing/
The Office of Financial Regulation is responsible for the enforcement of Chapter 517, Florida Statutes, the Florida Securities and Investor Protection Act (the Act). The Act is designed to protect the investing public from investment and securities fraud while facilitating the efficient creation of capital.
All applications to register securities for sale in Florida are reviewed to ensure that investors have access to full and fair disclosure of all relevant investment information and that the terms of the offering are "fair, just, and equitable" for the investor. The review is also conducted to determine if the business of the issuer is based on sound financial principles.
The Act requires that, in most instances, firms or individuals selling or offering to sell securities or offering investment advice in or from Florida must be registered. Dealers and investment advisers conducting business from a branch in Florida are required to register the location as a branch office. The Department closely reviews firm and agent applications to ensure that unqualified firms and individuals are not allowed to conduct business in Florida. This review protects the investing public and the reputation of the industry.
The Office of Financial Regulation may perform examinations within or outside of Florida to determine if a violation of the Act or administrative rules has occurred. The Department may administer oaths, examine witnesses and issue subpoenas, as needed.
The anti-fraud provisions of the Act make it unlawful for a person to engage in any fraudulent conduct when rendering investment advice or in connection with the offer, sale or purchase of any investment or security.
Registrations of dealers, investment advisers, associated persons and branch offices may be denied, revoked, restricted or suspended. Such action may be taken if the registrant or applicant has violated any provision of the Act or any department rule, engaged in any fraudulent conduct, demonstrated unworthiness to transact business or is of bad business repute.
Florida Securities Dealers Association: http://www.floridasecurities.com/
Founded in 1933, the Florida Securities Dealers Association, Inc. ("FSDA") is one of the oldest and largest state securities associations in the nation. The FSDA’s members represent nearly every segment of the securities industry in Florida, including broker-dealers, investment advisers, investment bankers, mutual fund companies, insurance companies, financial services companies, and law and accounting firms. Its members include national, regional, and state-wide firms.
Morningstar: http://www.morningstar.com/Cover/Funds.html
Morningstar, Inc. is a global investment research firm whose mission is to help investors make better decisions to reach their financial goals. Based in Chicago, the company offers an extensive line of print, software, and Web-based products and services for individual investors, professional financial advisors, and institutions.
Municipal Securities Rulemaking Board: http://www.msrb.org/
The MSRB makes rules regulating dealers who deal in municipal bonds, municipal notes, and other municipal securities. This web site contains useful information for municipal securities investors, dealers and the general public.
Financial Industry Regulatory Authority, Inc.: http://www.finra.org/index.htm
The Financial Industry Regulatory Authority (FINRA), is the largest non-governmental regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 5,100 brokerage firms, about 174,000 branch offices and more than 672,000 registered securities representatives.
Created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.
FINRA Dispute Resolution: http://www.finra.org/ArbitrationMediation/index.htm
This web site provides useful information about FINRA’s arbitration and mediation programs. The majority of this firm’s arbitrations are filed with FINRA.
New York Stock Exchange: http://www.nyse.com/
NYSE Euronext, the holding company created by the combination of NYSE Group, Inc. and Euronext N.V., was launched on April 4, 2007. NYSE Euronext (NYSE/New York and Euronext/Paris: NYX) operates the world ' s largest and most liquid exchange group and offers the most diverse array of financial products and services. NYSE Euronext, which brings together six cash equities exchanges in five countries and six derivatives exchanges, is a world leader for listings, trading in cash equities, equity and interest rate derivatives, bonds and the distribution of market data.
North American Association of Personal Financial Advisors: http://www.napfa.org/
NAPFA--the National Association of Personal Financial Advisors--is the largest professional association of Fee-Only comprehensive financial planners in the United States. NAPFA’s 900 members and affiliates nationwide attempt to provide consumers and institutions with objective financial advice on a Fee-Only basis. NAPFA believes that to keep the best interests of clients in mind, neither the advisor nor any related party should receive compensation contingent on the purchase or sale of a financial product.
North American Securities Administrators Association: http://www.nasaa.org/
Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA is a voluntary association whose membership consists of 66 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, Canada, and Mexico. In the United States, NASAA is the voice of the 50 state securities agencies responsible for efficient capital formation and grass-roots investor protection.
Personal Fund and Mutual Fund Cost Calculator: http://www.personalfund.com
This useful tool allows investors to analyze the actual costs of owning mutual funds, and comparing the long-term costs of different funds.
Securities and Exchange Commission: http://www.sec.gov/
The primary mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors and maintain the integrity of the securities markets. As more and more first-time investors turn to the markets to help secure their futures, pay for homes, and send children to college, these goals are more compelling than ever.
Securities Industry Association: http://www.siacl.com/
The Compliance and Legal Division’s members are primarily compliance and legal professionals associated with Securities Industry Association member firms. The Division’s purpose – to foster an effective self-regulatory system through the efforts of Compliance and Legal personnel – is promoted by its members’ activities, most of which center around education and advocacy for positions which preserve or enhance the reputation of the securities industry. Members’ activities also include improving communications with industry regulatory bodies.
Securities Investor Protection Corporation: http://www.sipc.org/
When a brokerage firm is closed due to bankruptcy or other financial difficulties, the Securities Investor Protection Corporation steps in as quickly as possible and, within certain limits, works to return cash, stock and other securities that investors had at the firm.
The Financial Planning Association: http://www.fpanet.org/
The Financial Planning Association is the membership organization for the financial planning community.
FPA's primary aim is to be the community that fosters the value of financial planning and advances the financial planning profession. FPA's strategy to accomplish its objectives involves welcoming all those who advance the financial planning process and promoting the CFP marks as the cornerstone of the financial planning profession.
FPA was created on the basic foundation that the CFP marks best represent the promise and the future of the financial planning profession. CFP® certification offers the public a consistent and credible symbol of professional competence in financial planning. And FPA benefits the public by helping to ensure that financial planning is delivered through competent, ethical financial planners.
The White House: http://www.whitehouse.gov/
You know who they are!
Value Line: http://valueline.com/index.html
Value Line’s mission is to help investors get the most accurate and independently created research information available, in any format they choose, and teach them how to use it to meet their financial objectives.
Wall Street Journal: http://interactive.wsj.com
Perhaps the world’s most comprehensive daily newspaper.
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