How to Find Financial and Securities Regulation information The federal or state securities rules require brokers, investment advisers and their companies to be licensed or enrolled in their states. There are also authorized to make important information public. Nonetheless, it is up to you to find that information and utilize it in protecting your investments. The good news is that this information is easily accessible online. You should first ensure that your broker or investment advisers have not previously had any disciplinary issues with regulators or their other investor before you decide to invest or pay for investment advice. You also need to ask them if they have been registered or licensed by the governing body. Knowing this is important since there will be no way for you to recuperate your money once this unregistered securities brokerage firm becomes bankrupt even if the court rules in your favor. By searching the Central Registration Depository (CRD) database, you will find a lot of information about most brokers, and the particular firms where they work. You will also discover details about where these financial agents worked before plus their academic qualifications. Since Central Registration Depository contains information about these brokers especially when it comes to customers claims; you can request them to give you detailed data about them.
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Once you check the registration status and record of your financial company, you need to find out whether or not the financial company is a member of the Securities Investor Protection Corporation (SIPC). SIPC does provide customers with protection if the financial firm becomes insolvent. You will not be qualified for compensation by SIPC if you place your money or securities in the hands of a financial company that is not a SIPC member as soon as the company goes out of business. As soon as you decide on a few prospective companies, it is crucial to ask them a few questions during your meeting with them. Some of the questions you can ask are: o Explain to me what experience you have in dealing with customers, especially those who have similar cases like mine? o Which college did you attend and what is your employment history? o Which products and services do you give and whether you can vouch for other products or services to me? o What kind of payment method do you consent to for your services? o Have you in the past had a disciplinary action taken against you by any government regulator for illegal conduct or have any of your customer who was not satisfied with the work you did take any legal action against you? Once they answer all these questions, you will be able to compare the various financial firms and make a decision on which firm you can comfortably work with.