Securities & Investment Fraud Resources

Securities and Exchange Commission
The Securities and Exchange Commission (SEC) regulates the U.S. securities market. On their website, you can find information on investments and investment fraud, check out brokers and investment advisers, and file a complaint.

www.sec.gov

The SEC also has a web page for seniors that contains information about investing wisely and how to avoid certain types of investment fraud: www.sec.gov/investor/seniors.shtml

National Futures Association (NFA)
NFA is a self-regulatory organization for the U.S. futures industry dedicated to safeguarding the integrity of the futures markets and protecting investors. NFA has developed a number of tools to help investors understand the risks inherent in futures trading and the due diligence they should perform before participating in the futures markets. For information about the NFA, visit their website at www.nfa.futures.org or contact the Information Center:

NFA’s Information Center
312-781-1410 or 800-621-3570
information@nfa.futures.org

The National Futures Association (NFA) offers some useful tools for avoiding investment fraud:

"Scams and Swindles" (a booklet on investment fraud)

Investor Learning Center: www.nfa.futures.org/investor/investorLearningCenter.asp
NFA offers several investor education materials available at NFA's Investor Learning Center, including a publication about how to avoid becoming a victim of investment fraud and publications relevant to futures trading. NFA's Investor Learning Center also offers investor alerts, newsletters and online learning programs to help individuals understand the complexity and risk of futures trading and the foreign currency (FOREX) market.

Background Checks on Firms and Individuals:
www.nfa.futures.org/basicnet
Investors can conduct background checks on firms or individuals by utilizing NFA's Background Affiliation Status Information Center (BASIC). BASIC contains CFTC registration and NFA membership information as well as futures-related regulatory and non-regulatory actions about particular firms or individuals.

Illinois Securities Department
Contact the Illinois Securities Department to get information about investment in Illinois or to report suspected securities or investment fraud. All investments sold in Illinois must be registered with the Illinois Securities Department. Always contact the Illinois Securities Department before investing with a new salesperson or firm to verify the investment’s registration, as well as the person or firm’s employment and disciplinary history.

www.cyberdriveillinois.com/departments/securities/

1-800-628-7937

Securities brochure: www.cyberdriveillinois.com/publications/securitiespub.html#protectcons