Investor Education and Protection Resources

The best way for investors to protect themselves against unnecessary risks is by informing themselves about investments and investment professionals, taking steps to avoid investment "scams" or "swindles," determining their personal financial situation and needs, and setting realistic investment objectives.

The mission of the Division is to protect Georgia investors by encouraging a safe and healthy financial services sector that promotes capital formation in Georgia.

The Division provides this directory as part of its mission to provide investor education and for fraud prevention. The Division also issues alerts informing the public on how to avoid fraud.


The Division  does not endorse, nor is it responsible for, any companies, products, or services featured at the web sites listed in this directory. The Internet is a dynamic environment; sites and links can change, expire, or be moved at anytime. We have endeavored to provide information that is current and accurate.

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. NASAA is a voluntary association whose membership consists of 67 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, Canada, and Mexico. In the United States, NASAA is the voice of the 50 state securities agencies responsible for efficient capital formation and grass-roots investor protection. The ASC is an active member of NASAA and recommends their website as an excellent source for investor education and securities industry regulatory information. 

Securities and Exchange Commission (SEC) - The mission of the U.S. Securities and Exchange Commission 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. Here the SEC is concerned primarily with promoting the disclosure of important market-related information, maintaining fair dealing, and protecting against fraud. The SEC's Office of Investor Education and Advocacy provides a variety of services to address the problems and questions faced by investors. 

Office of Investor Education and Advocacy (SEC) - The SEC Office of Investor Education and Advocacy offers you a variety of services to attend to the problems and questions that you might have as an investor. They cannot advise you as to what investments to make, but will be able to instruct you about how to invest wisely and avoid frauds. 

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. No podemos aconsejarle qué inversiones realizar, pero sí podremos instruirle acerca de cómo invertir sabiamente y evitar los fraudes. 

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. Created in July 2007 through the consolidation of the National Association of Securities Dealers (NASD) and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services. The FINRA Investor Education Foundation, formerly known as the NASD Investor Education Foundation, supports innovative research and educational projects that give investors the tools and information they need to better understand the markets and the basic principles of saving and investing.




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