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.

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.

Securities Registration and Exemptions (via Secretary of State’s website)

File a 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://sos.ga.gov/index.php/?section=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