Delaware is under a State of Emergency. Here are answers to frequently asked questions about what this means for you. More Info

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Delaware Department of Justice
Attorney General
Kathy Jennings

Fraud & Consumer Protection Division



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 a complaint (Complaint Form)

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

SEC

NASAA link to other state securities regulators

FINRA Investor Podcasts


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.govhttps://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

FINRA Tools & Calculators

The American Savings Education Council “Ballpark Estimate” worksheet


Online Investing

http://www.investingonline.org/


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:

http://www.marketwatch.com

http://www.abcnews.com

http://money.cnn.com

http://www.dowjones.com

http://www.nasdaq.com

http://www.morningstar.com


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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