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Is there an easy way to find out which agency regulates a particular financial services company?

To find out who regulates your bank, visit the Federal Financial Institutions Examination Council website and enter the name of your bank or financial institution in the search field. You can also contact the Comptroller of the Currency (online or at 800-613-6743).

If you belong to a credit union, it will be regulated by the National Credit Union Administration.

Depending on the value of the assets being managed, investment advisers and firms have to register with either the U.S. Securities and Exchange Commission (SEC) or the state securities agency where they operate. Details on investment firms and individual advisers’ qualifications are available on the SEC Investment Adviser Public Disclosure (IAPD) website and at Investor.gov. To find your state’s securities regulator, contact the North American Securities Administrators Association (NASAA).

The Financial Industry Regulatory Authority (FINRA) is a non-governmental organization that regulates member brokerage firms, provides investor education and protection, and disciplines brokers who break the rules. Information about brokerage firms and individual brokers is available through FINRA’s BrokerCheck. Here you can find out if a broker is properly licensed, has had disciplinary problems or has received serious complaints from investors.

 
 
 
 

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