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Securities / Investments

The world of investing is fascinating, often complex, but it can be very profitable. However, unlike the banking world, where deposits are guaranteed by the federal government, stocks, bonds and other securities can lose value. There are no guarantees. By far the best way for investors to protect the money they put into the securities markets is to do research and ask questions.

The mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.   The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds.

Though it is the primary overseer and regulator of the U.S. securities markets, the SEC works closely with many other institutions, including Congress, other federal departments and agencies, the self-regulatory organizations (e.g. the stock exchanges), state securities regulators, and various private sector organizations. In particular, the Chairman of the SEC, together with the Chairman of the Federal Reserve, the Secretary of the Treasury, and the Chairman of the Commodities Futures Trading Commission, serves as a member of the President's Working Group on Financial Markets.

More detailed information about the SEC is available throughout its website - http://www.sec.gov/index.htm

State Securities Regulator

The Georgia Secretary of State serves as the Georgia Commissioner of Securities. In that capacity, he or she regulates the offer for sale and sale of securities within and from the state of Georgia. These securities may range from traditional common stocks and bonds to a broad range of more complex forms of investment contracts, limited partnerships, profit-sharing arrangements, and the newly-emerging market in derivatives.

Securities Registration Search (via Secretary of State’s website)

File a Public Complaint with the Secretary of State

For more information and references regarding the State’s regulation of securities/investments, go to the following URL: http://www.sos.ga.gov/securities/

 

Related Information - Check Out Brokers and Investment Advisers via the SEC’s website:

Research Individual Brokers or Firms

Research Investment Advisers (Forms Only) 

Tips for Checking Out Brokers and Investment Advisers