Helpful Links
REGULATORS/GOVERNMENT LINKS:
- U.S. Securities and Exchange Commission: http://www.sec.gov
- Financial Industry Regulatory Authority: http://www.finra.org
- State Securities Regulators: http://www.nasaa.org/about_nasaa/2062.cfm
- FinCEN: http://www.fincen.gov/
- CRD System: http://www.finra.org/RegulatorySystems/CRD/index.htm
- IARD System: http://www.sec.gov/divisions/investment/iard.shtml
- North American Securities Administrators Association: http://www.nasaa.org/home/index.cfm
- Delaware Division of Corporations: http://corp.delaware.gov/default.shtml
- Maine Bureau of Corporations: http://www.maine.gov/sos/cec/corp/index.html
STATUTES AND RULES*
- Federal Securities Acts: http://www.law.uc.edu/CCL/xyz/sldtoc.html
- FINRA Rules: http://www.finra.org/RulesRegulation/FINRARules/index.htm
- Delaware Corporations Law: http://www.corp.delaware.gov/DElaw.shtml
*Bryant Law does not maintain these websites and makes no representations about how current they may be.
FILING A COMPLAINT:
- SEC: http://www.sec.gov/complaint.shtml
- FINRA: https://apps.finra.org/Investor_Information/Complaints/complaintCenter.asp
- Your State Securities Regulator: http://www.nasaa.org/about_nasaa/2062.cfm