Site Map |

Search SEC:

Securities & Investment Regulation

• Home
• About us
• Check a Broker or Adviser
• Investor Education Brochures
• Small business help
• Industry information
• Laws, rules & advisory rulings

• Department of Professional & Financial Regulation

OTHER PFR AGENCIES

• Professional Licensing
• Bureau of Consumer Credit Protection
• Insurance Regulation
• Financial Institutions

Investor Education Brochures

The Office of Securities makes available investor education brochures and other basic information to help you become a successful investor.

Investing Basics Online Guide

This Basic Guide covers everything you'll need to know from how to balance risk and return to the most common investment scams.

 

Investor Alerts and Tools from FINRA

Investor Education Brochures by The Editors of Kiplinger's Personal Finance

• Five Keys To Investing Success (PDF)
• A Primer For Investing In Stocks (PDF)
• A Primer For Investing In Bonds (PDF)
• Mutual Funds: Maybe All You'll Ever Need (PDF)
• Getting Help With Your Investments (PDF)
• Maximize Your Retirement Investments (PDF)

When Your Broker Calls, Take Notes

Make copies of When Your Broker Calls, Take Notes to have handy and use it to make notes of conversations with your salesperson or adviser. Be sure to record details of the recommendations you receive and the instructions you give. Keep the notes in your files.

The Smart Investor's Check List

 

 

Last Updated: June 2, 2009

Consumer Tools

• Determining the Value of Stock Certificates
• File a complaint
• Investor Education Brochures
• New in Investor Education
• Web resources for consumers

Industry Tools

• 
• Web resources for industry
• Licensing & Registration
• Forms
• FINRA Regulation
• File UICNF
• Laws, rules, & advisory rulings
• Small business help
• Enforcement actions & consent agreements

Featured

• "Business Opportunity" Sales
• New Data Breach Notification Law

Maine.gov | Professional and Financial Regulation | Privacy | Accessibility | Disclaimer