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Featured Resources
Ask and check before you invest!
Ask & Check!
FINRA BrokerCheck
With FINRA BrokerCheck, you can get background and license info about an investment adviser or securities agent, commonly known as a stockbroker.
As an online resource, you can conduct a background check of an investment professional and the company with a CRD/IARD report from the Financial Industry Regulatory Authority's BrokerCheck. For investment advisers and their representatives, visit the Investment Adviser Public Disclosure (IAPD) database.
NOTE: When conducting your search, look for public disclosures regarding both the individual and the company as the company may have legal actions taken against it.
NEW MI Investor Guide
Our goal in providing this Guide is to help you become an informed, educated investor. Included are clear explanations of the types on investments you may consider, strategies to manage investment risk, and information about investing with the goal of building a financially secure retirement. Equally important is information that will help you to protect yourself against financial fraud and make knowledgeable decisions about higher-risk investments. In addition to detailing common warning signs of fraud and what to do if you suspect a violation of the law, we have highlighted some specific investment threats facing Michigan investors and how to avoid them.
A financial literacy calendar can be a powerful tool to help you stay organized and well-informed throughout the year. By focusing on different financial literacy topics each month, you can create a roadmap in your life and as well as for your financial literacy initiative and social media content. This Investor Education 18-month calendar will not only assist you in staying on schedule but also act as a central point for all your significant dates, such as events, birthdays, anniversaries, and more. With a thoughtfully crafted financial literacy calendar, you can ensure consistent engagement with important topics. Hyperlinks have been added within the online calendar for easy access to trusted resources. The calendar can be printed as well.
A series of podcasts produced by North American Securities Administrators Association (NASAA) to provide investors with investor protection news and information. NASAA is pleased to provide The Alert Investor, a series of succinct, two-to-three minute, investor education podcasts.
The series is a resource for you to learn about investing wisely, avoiding fraud and how to exercise your rights as an investor. The Alert Investor is an ongoing series addressing timely topics for investors of all ages.
Quick Links
Filing a Complaint with MiCLEAR NASAA Investor Agent Representative Continuing Education Course
The information provided on this website is not comprehensive, is not offered as legal or investment advice, and is not a substitute for competent legal or financial counsel. The Securities Division provides this information to give you an overview of the topics discussed. You should not rely on the accuracy of this information but should carefully review all applicable statutes and regulations with the assistance of legal counsel.
