FINRA BrokerCheck is a free online tool to help investors check the professional background of current and former FINRA-registered securities firms and brokers. It should be the first resource investors turn to when choosing whether to do b...
brokercheck.finra.org/Search/Search.aspx
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U.S. Securities and Exchange Commission: official Federal Agency website, including news, legal and other releases and reports, investor education material, and the EDGAR database of corporate disclosure reports
FINRA is the largest independent securities regulator in the U.S. Our chief role is to protect investors by maintaining the fairness of the U.S. capital markets.
Headed by Comptroller of the Currency John C. Dugan, the Office of the Comptroller of the Currency (OCC) charters, regulates, supervises all national banks, and also supervises the federal branches and agencies of foreign banks.