Protect Yourself

Protecting yourself and your family from investment fraud is an important part of investing. The Investor Protection section includes tools and information to help investors recognize and avoid investment fraud. Resources include information on Regulators, booklets, programs, videos, and more.

IPT Investor Protection Resources

IPT’s has a variety of resources to help investors and potential investors recognize and avoid investment fraud.

• Five Keys to Investing Success
• A Primer for Investing in Bonds
• The Basics for Investing in Stocks
• Mutual Funds: Maybe All You’ll Ever Need
• Getting Help With Your Investments
• Where to Invest Your College Money
• Maximize Your Retirement Investments
• The Basics of Saving and Investing: Investor Education 2020, Unit 4
• MoneyTrack Public Television Series, Scam Alerts
• Campaign for Wise and Safe Investing brochure and inserts

State Securities Regulators

State Securities Regulators have protected investors from fraud for nearly 100 years. Securities markets are global but securities are sold locally by professionals who are licensed in every State where they do business. State Securities Regulators work within the State government to protect investors and help maintain the integrity of the securities industry.

Your State Securities Regulator can:

• Verify a broker-dealer of investment advisor is properly licensed.
• Provide information about: prior run-ins with regulators that led to disciplinary or enforcement actions, serious complaints that may have been lodged against them, their educational background and their work history.
• Provide a computer link or telephone number or address where you can file a complaint
• Provide non-commercial investor education and protection materials

For contact information for your State Securities Regulator, visit the NASAA website and click on “Contact Your Regulator.”

North American Securities Regulators Association (NASAA)

NASAA is the voice of State Securities Agencies responsible for efficient capital formation and grass-roots investor protection. Their fundamental mission is protecting consumers who purchase securities or investment advice, and their jurisdiction extends to a wide variety of issuers and intermediaries who offer and sell securities to the public. The NASAA website provides a variety of investor protection resources:

• Contact Your State Securities Regulator
• NASAA Investor Education and Protection Resources