Alabama Attorney General – One of the Attorney General’s most important responsibilities is protecting Alabama consumers. If you have a consumer-related issue, you may contact the Attorney General’s Consumer Protection Hotline at 1-800-392-5658, or you may file an online complaint.
State of Alabama Banking Department – The Alabama Banking Department regulates all state chartered banks, trust companies, and various providers of consumer credit.
Alabama Department of Insurance – The Alabama Department of Insurance (ALDOI) serves Alabama citizens by regulating the insurance industry, providing consumer protection, promoting market stability and enforcing fire safety standards and laws.
North American Securities Administrators Association (NASAA) – NASAA is the oldest international organization devoted to investor protection.
ServeOurSeniors.org – NASAA website designed to provide senior-focused resources to investors, caregivers, industry and policymakers.
Business Continuity Plan NASAA Model Rule
NASAA Cybersecurity Checklist for Investment Advisors
Securities and Exchange Commission (SEC) – The mission of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds.
Office of Investor Education and Advocacy (SEC) – The SEC offers you a variety of services to attend to the problems and questions that you might have as an investor.
La SEC en Español: Información para los Inversionistas (SEC) – La Oficina de Educación y Asistencia a los Inversionistas (Office of Investor Education and Advocacy) de la SEC le ofrece una variedad de servicios para atender los problemas y preguntas que usted pudiera tener como inversionista.
Financial Industry Regulatory Authority (FINRA) – The Financial Industry Regulatory Authority (FINRA), is the largest non-governmental regulator for all securities firms doing business in the United States. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.
FBI and National White Collar Crime Center (NW3C) The IC3’s mission is to receive, develop, and refer criminal complaints regarding the rapidly expanding arena of cyber crime. The IC3 gives the victims of cyber crime a convenient and easy-to-use reporting mechanism that alerts authorities of suspected criminal or civil violations.
U.S. Commodity Futures Trading Commission – The mission of the Commodity Futures Trading Commission (CFTC) is to protect market participants and the public from fraud, manipulation, abusive practices and systemic risk related to derivatives – both futures and swaps – and to foster transparent, open, competitive and financially sound markets.
Consumer Financial Protection Bureau (CFPB) – The Consumer Financial Protection Bureau (CFPB) is an independent agency of the United States government responsible for consumer protection in the financial sector. Its jurisdiction includes banks, credit unions, securities firms, payday lenders, mortgage-servicing operations, foreclosure relief services, debt collectors and other financial companies operating in the United States.
Federal Trade Commission (FTC) – The FTC enforces a variety of federal antitrust and consumer protection laws. It seeks to ensure that the nation’s markets function competitively, and are vigorous, efficient, and free of undue restrictions. The FTC also works to enhance the smooth operation of the marketplace by eliminating acts or practices that are unfair or deceptive.
Social Security Administration (SSA) – If Social security taxes were taken from your earnings during your working career, Social Security entitlements may be an important part of your financial plan and estate.
United States Senate, Special Committee on Aging – Fighting Fraud: U.S. Senate Aging Committee Identifies Top 10 Scams Targeting Our Nation’s Seniors
Council of Better Business Bureaus (BBB), Consumer Education – Trust BBB ratings and reviews to help you make informed buying decisions. When you need assistance, BBB’s free consumer services are offered across the U.S. and Canada, online and in person. Get the latest tips on how to spot scams and more.
Investor Protection Trust (IPT) – The Investor Protection Trust (IPT) provides independent, objective information needed by consumers to make informed investment decisions. Founded in 1993 as part of a multi-state settlement to resolve charges of misconduct, IPT’s charter consists of two major functions: serving as an independent source of non-commercial investor education materials and assisting in the prosecution of securities fraud.
Alabama Jump$tart – The Alabama Jump$tart Coalition is comprised of over 200 organizations, government agencies, financial institutions, and corporations. Working together we are able to join forces to improve the personal financial literacy of Alabama’s youth.
National Jump$tart – Jump$tart’s aim is to identify high-quality personal finance materials for educational use. Once you find a material of interest, you can order it directly from the source. Many of the materials are low cost or free of charge.