Tips to Help You Find Financial and Securities Regulation information The federal or state securities rules require brokers, investment advisers and their companies to be licensed or enrolled in their states. There are also mandated to make useful information public. Conversely, it is up to you to look for that data and take advantage of it in protecting your investments. The good news is this information is easily available on the Internet. Before you decide to invest or pay for investment advice, you should first make sure that your brokers or investment advisers have not previously had any disciplinary problems with regulators or their other investors. You need to also inquire from them if they have been registered or licensed by the governing body. It is vital to know this since recovering your money from unregistered securities brokerage companies who become bankrupt can be difficult even if the court rules in your favor. By searching the Central Registration Depository (CRD) database, you will discover so much about most brokers and the specific companies where they work. You will also find more details about these financial brokers about where they worked before and their educational backgrounds. Since Central Registration Depository contains information about these brokers especially when it comes to customers claims; you can request them to give you detailed data about them.
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Once you check the registration status and record of your financial company, you need to find out whether or not the financial company is a member of the Securities Investor Protection Corporation (SIPC). SIPC offers customers protection if the financial firm becomes broke. If you place your money or securities in the hands of a financial company that is a non-SIPC member, then you are not entitled to compensation by SIPC the minute the company goes out of business. The minute you have settled on a few potential firm it is important to ask them a few questions during the time that you visit them. Some of the questions you should ask are: o Clarify to me what experience you have in handling clients, especially in my case? o Which university did you attend and what is your employment history? o Which products and services do you provide and whether you can recommend any other products or services to me? o What kind of payment method do you consent to for your services? o Have you previously had a disciplinary action taken against by any government regulator for unprincipled conduct or have you ever been charged by a client who was not contented with the work you did? The minute they answer all of these issues, you should compare all the financial companies and choose the company that you are comfortable working with.