Investor.gov
The SEC's investor.gov website offers free resources including: investment product descriptions, broker and advisor lookup tools, compound interest calculators, information about investor rights, and guidance on avoiding fraud. The site is designed for ordinary investors without financial backgrounds and is the starting point for investor education.
Checking Your Broker
Investor.gov links to FINRA's BrokerCheck tool for verifying broker credentials and reviewing disciplinary history. The SEC also maintains its own IAPD (Investment Adviser Public Disclosure) database for registered investment advisers. Both tools are free and accessible without registration.
Filing Complaints
The SEC's TCR system (sec.gov/tcr) allows investors to file tips, complaints, and referrals. Complaints about broker-dealer misconduct, market manipulation, and securities fraud can all be submitted through this system. The SEC uses these submissions to identify patterns and direct investigative resources.
Alert and Bulletin System
The SEC and FINRA jointly publish investor alerts and bulletins warning about fraud schemes, emerging risks, and market practices that may harm investors. These alerts are available on both investor.gov and finra.org. Subscribing to these alerts is a practical way for investors to stay informed about evolving risks.