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Checking Out Your Broker
NATIONAL ASSN. OF Some information is already SECURITIES DEALERS online, but you may have to 800 289-9999 call or E-mail for a broker's www.nasdr.com disciplinary record (CRD) NORTH AMERICAN Offers a free pamphlet, How to SECURITIES ADMIN- Check Out a Broker, to help you ISTRATORS ASSN. decode a CRD; provides phone 202 737-0900 numbers of state securities www.nasaa.org regulators NATIONAL REGISTRY Private company that does OF FINANCIAL SERVICES background checks on brokers 888 673-7701 for $59 each www.nationalregistry.com
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Updated Sept. 24, 1998 by bwwebmaster
Copyright 1998, by The McGraw-Hill Companies Inc. All rights reserved.
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