Compiled below are a number of articles and links that should help you understand and educate yourself as an investor to better ensure your financial security and protect your financial assets.  If you are unfamiliar with the terminology used in any of the articles and websites compiled below, you may visit our Definitions for Investors page for references.  

Charles C. Mihalek, PSC has also prepared a short Investor Primer for individual investors with tips on What Not to Do, What to Look For and What to Do Next if you believe you are the victim of broker misconduct.

Investor Education

   American Association of Individual Investors (AAII)

   Investor Education at North American Securities Administrators Association (NASAA)  

   Alliance for Investor Education 

   Foundation for Investor Education


NASD Investor Alerts

   Ten Tips to Keep Track of Your Investments, September 23, 2002.

   Understanding Mutual Fund Classes, January 14, 2003.

   Net Asset Transfers: Look Before You Leap Into Another Mutual Fund, February 26, 2004.

   Mutual Fund Breakpoints:  Are You Owed a Refund?  November 3, 2003.

   Variable Annuities: Beyond the Hard Sell, May 27, 2003.


Articles for Investors

   How to Avoid Problems with Your Broker, from the NASD

   Prohibited Conduct, from the NASD.

   How to Check Your Broker or Brokerage Firm, from the NASAA.       

   How to Protect Your Money from Dishonest Investment Advisors, from the NASAA.


Arbitration Forums

National Association of Securities Dealers (NASD) 

New York Stock Exchange (NYSE) 


Tools for Investors

NASD Investment Professional Background Check 

Investing Online Resource Center 

Investor Protection Trust


How to Make a Complaint

NASD Investor Complaint Center 

NYSE Complaints & Inquiries 




For information regarding how to contact your state securities regulator, click here.

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