Resources

Investor Education

• Alliance for Investor Education
  The Alliance for Investor Education is dedicated to facilitating greater understanding of investing, investments and the financial markets among current and prospective investors of all ages.
• Common Investment Scams
  DFI has identified the ten investment scams that are most likely to trap Washington investors.
• DFI's Investor Education Page
  Investor education information from the Washington State Department of Financial Institutions (DFI).
• Financial Industry Regulatory Authority (FINRA)
  The Financial Industry Regulatory Authority, is the largest non-governmental regulator for securities firms doing business in the United States.
• Investor Protection Trust
  The Investor Protection Trust serves as an independent source of non-commercial investor education materials.
• North American Securities Administrators Association (NASAA)
  Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection.

Materials and Publications

• Investor Education Booklets
  7 investor education booklets available for free from DFI, in partnership with Kiplinger's Personal Finance magazine, the Investor Protection Trust and the American Library Association.
• Investor Bill of Rights
  The Investor Bill of Rights lists your rights as an investor. Very helpful information if you currently invest or are considering an investment opportunity.
• Investor Fraud Awareness Quiz
  The North American Securities Administrators Association (NASAA) has developed an online interactive quiz to help you identify your vulnerability to fraud.
• Questions to Ask Before You Invest
  Questions you should ask about your investments and what to do if you run into problems.
• Online Brokerage Accounts: What You Can Do To Protect Yourself
  Information on using online brokerage accounts and what you can do to safeguard your money and your personal information.

Research Before You Invest

• FINRA Broker Check
  FINRA BrokerCheck is a free online tool to help investors check the professional background of current and former FINRA-registered securities firms and brokers.
• DFI Licensee Database
  The Washington State Department of Financial Institutions (DFI) licensee database allows you to check and see if a securities firm or broker is licensed to do business in Washington.
• BBB Background Check
  The Better Business Bureau (BBB) background check allows you to check the background of companies located in Washington.