Link Last Checked: November 01, 2005

Consumer Resources Links

National Association of Securities Dealers (NASD) Regulation

Accepts online complaints regarding unfair or improper business dealings and conduct of member brokers.

NASD Regulation investigations do not necessarily result in the return of customers' money, even where formal disciplinary actions are taken and sanctions imposed. Customers are encouraged to consider other avenues of redress, including arbitration and mediation if they are seeking to recover monies or securities.

NASD Regulation, Inc. is the independent subsidiary of the National Association of Securities Dealers, Inc. charged with regulating the securities industry and The Nasdaq Stock Market®.

Visit: National Association of Securities Dealers (NASD) Regulation