Delaware Department of Justice
Attorney General
Kathy Jennings

Fraud & Consumer Protection Division


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.

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:

For IPU Investor Advisories, click here:

More Investor Protection Resources

NASAA Fraud Center

Broker check

Investment Adviser Firm Search


NASAA link to other state securities regulators

FINRA Investor Podcasts


Getting Started

What are bonds?

What’s an IRA?

What Exactly Are Stocks?

What’s a 529 Plan?

What’s An IPO?

What’s a Target Date Fund?

What’s Compound Interest?

What Should I Know About Investment Fees?

What’s An Ex-Dividend Date?

What Questions Should I Ask Before Hiring and Investment Professional?

Before You Invest: Investor.gov

What Do the Search Results Mean When I Look Up an Investment Professional on

How Can I Plan for Retirement?

I Think I May Be a Victim of Investment Fraud. What Should I Do?


Brokers and Investment Advisers – Introduction

Brokers and Investment Advisers – Know the Difference

Brokers and Investment Advisers – How They Get Paid

Brokers and Investment Advisers – Which Is Right For Me?

Brokers and Investment Advisers – What Else To Think About

Online Calculators

FINRA Tools & Calculators

The American Savings Education Council “Ballpark Estimate” worksheet

Online Investing

Retirement Planning

Social Security Association

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

American Stock Exchange

Securities Industry and Financial Markets Association

Chicago Board of Trade

Chicago Mercantile Exchange

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 *

Investment Company Institute

Financial Industry Regulatory Authority – (FINRA)

National Fraud Information Center – (NFIC)

National Futures Association – (NFA)

New York Mercantile Exchange

New York Stock Exchange

North American Securities Administrators Association – (NASAA)

Office of the Comptroller of the Currency – (OCC)

Securities Class Action Clearinghouse

Securities Industry Association

Standard & Poor’s Compustat

Savings Fitness: A Guide to Your Money and Your Financial Future

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