U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

State Securities Regulators

If you want to find out how to get in touch with your state securities regulator, you can visit the North American Securities Administrators Association, Inc.'s website. Your regulator can provide you information about a company doing business in the state and can check the Central Registration Depository to tell you whether your broker or brokerage firm has a disciplinary history. Your regulator can also confirm