Investors
Contact the Delaware Investor Protection Unit to:
- Check on the Registration Status of an investment professional
- If you have concerns about someone pitching an investment to you
- If you would like to file an investor complaint
How to check out an investment professional:
- First: look them up on Broker Check (Link)
- Second: call or email the Delaware IPU with any concerns or further questions.
- Phone: (302) 577-8424
- Email: Investor.Protection@delaware.gov
Investor Education Resources
NASAA Investor Education:
a detailed and comprehensive resource for education, arranged by topic.
For material geared towards particular investors, click here:
For material on particular hot topics, click here:
- Crowdfunding
- Exchange Traded Funds
- Energy Investments
- Private Placements
- Investor.gov
- Investor’s Clearinghouse
- FINRA Investor Podcasts
- Delaware’s Money School
For IPU Investor Advisories, click here:
More Investor Protection Resources
Investment Adviser Firm Search
NASAA link to other state securities regulators
Investing
Getting Started
What are bonds? https://youtu.be/zsHDl5T7J0w
What’s an IRA? https://youtu.be/UAvn8Y682ss
What Exactly Are Stocks? https://youtu.be/SNJduzbAzdY
What’s a 529 Plan? https://youtu.be/qPR4H9pKEEI
What’s An IPO? https://youtu.be/FjosVcqf6sw
What’s a Target Date Fund? https://youtu.be/Lnf-170EDx0
What’s Compound Interest? https://youtu.be/hQJmuLKfeY8
What Should I Know About Investment Fees? https://youtu.be/NAKcMTsEVnU
What’s An Ex-Dividend Date? https://youtu.be/2ajgbF0r4wE
What Questions Should I Ask Before Hiring and Investment Professional? https://youtu.be/GyarOr75WAs
Before You Invest: Investor.gov – https://youtu.be/nDyp-lDLlbU
What Do the Search Results Mean When I Look Up an Investment Professional on Investor.gov? https://youtu.be/J7IB4fH8f8A
How Can I Plan for Retirement? https://youtu.be/cipBxc6kG5E
I Think I May Be a Victim of Investment Fraud. What Should I Do? https://youtu.be/sdbD2dWH1a4
Brokers and Investment Advisers – Introduction https://youtu.be/lQY9KyCfX6Q
Brokers and Investment Advisers – Know the Difference https://youtu.be/FZNCce1spHQ
Brokers and Investment Advisers – How They Get Paid https://youtu.be/talDyeUwsWE
Brokers and Investment Advisers – Which Is Right For Me? https://youtu.be/PX-WXjTw5OY
Brokers and Investment Advisers – What Else To Think About https://youtu.be/pY6vz1O3MBg
Online Calculators
The American Savings Education Council “Ballpark Estimate” worksheet
Online Investing
http://www.investingonline.org/
Retirement Planning
TIAA-CREF Individual & Institutional Services, LLC
Online Quotes & Charting Tools
The following websites provide market information, automated quotes, and charting tools for individual stocks and other investment instruments:
Other Links
American Institute of Certified Public Accountants
Securities Industry and Financial Markets Association
Commodity Futures Trading Commission
Dun & Bradstreet – Home Page
Federal Bureau of Investigation – (FBI) *
Federal Reserve Board – Board of Governors *
Federal Trade Commission – (FTC)
Financial Accounting Standards Board *
Financial Industry Regulatory Authority – (FINRA)
National Fraud Information Center – (NFIC)
National Futures Association – (NFA)
North American Securities Administrators Association – (NASAA)
Office of the Comptroller of the Currency – (OCC)
Securities Class Action Clearinghouse
Securities Industry Association
Savings Fitness: A Guide to Your Money and Your Financial Future
Related Topics: Attorney General, DE AG, DE Attorney General, Delaware, Delaware Attorney General, Fraud, Investor Protection, Investor Protection Unit, Investors
