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Stockbroker Associations & Organizations

             @Markets Association Provides information on @markets, their conferences, publications and membership. Dedicated to the development and representation of open and competitive international online markets; to serve the needs of the business-to-business exchange community.
Alliance for Investor Education (The Investor's Clearinghouse) Provides access to investor information and tips on all aspects of investing, from bonds to stocks to day trading.
American Association of Individual Investors (AAII) Provides access to background information about the association, in addition to publications, educational materials, and upcoming seminars.
American Bankers Association (ABA) Provides access to details on ABA conferences, educational information and press releases.
American Bar Association Provides access to association publications, events, as well as information on current members.
American Economic Association Provides access to details on the Association, in addition to activities and publications.
American Savings Education Council (ASEC) Provides access savings education information and materials, in addition to details on programs and events sponsored by ASEC.
American Society of Corporate Secretaries The American Society of Corporate Secretaries, Inc. members deal with public disclosure under the securities laws and matters affecting corporate governance, including the structure and meetings of the board of directors and its committees, the proxy process and the annual meeting of shareholders and shareholder relations, particularly with large institutional owners.
Association for Investment Management and Research (AIMR) Provides access to details about the AIMR, in addition to CFA program information and investor education.
Association of Financial Guaranty Insurors (AFGI) Provides access to background information and press releases on the association, which represents insurers and reinsurers of municipal bonds and asset-backed securities.
Australian Financial Markets Association Provides a range of services to its OTC wholesale financial markets (and non-members), that include market practices, education and training, and market data and research. Promotes Australia as a global center for financial services.
Bank for International Settlements (BIS) Provides a bank for central banks, research, a forum for international monetary and financial cooperation, a counterparty for central banks in financial transactions, and acts as an agent or trustee in connection with international financial operations.
British Bankers' Association (BBA) Provides information for consumers, businesses, media and research. BBA is a not-for-profit organization representing the banking industry of the UK.
Certified Financial Planner Board of Standards, Inc. A nonprofit regulatory organization devoted to educating the public about the benefits of financial planning.
Commercial Real Estate Secondary Market and Securitization Association - CSSA Provides access to research, association newsletters, a CMBS industry glossary, and CMBS transactions.
Consumer Bankers Association (CBA) Provides access to information about the association and its current activities, including an association conference/seminar schedule and recent market survey results.
EMTA Provides access to background information about the Association, standard documentation and Market Practices for Brady Bonds, Eurobonds, Sovereign Loans and NDFs, as well as details on recent developments in the Emerging Markets debt marketplace.
European Bond Commission Provides research and publications on bond, currency and derivatives markets. Offers insight into the structure, composition and current trends in the European market. The Commission is part of the European Federation of Financial Analysts'' Societies (EFFAS) (
European Mortgage Federation Provides access to background information about the Federation, in addition to mortgage statistical data and current publications.
Federation of Tax Administrators (FTA) Provides access to background information on the federation, as well as research reports, monthly news letters and a listing of state tax rates.
Financial Planning Association The association of the financial planning community, which provides services and resources to help the public understand the importance of the financial planning process and the value of objective advice. The Journal of Financial Planning is its official publication.
Financial Women's Association of New York Provides access to upcoming events, association news and information.
FISD (Financial Information Services Division) Provides a forum for exchanges, market data vendors, specialist data providers, brokerage firms, and banks to address and resolve business and technical issues related to the distribution, management, adminsitration, and use of financial information. FISD is a division of the Software & Information Industry Association (SIIA)
Fixed Income Analysts Society Provides details on upcoming events, as well as educational and job opportunities.
Foundation for Managed Derivatives Research Funds new research in the area of managed derivatives including futures contracts, options in future contracts, forward contracts and swaps. Founded by the Managed Futures Association.
Futures Industry Association (FIA) Provides access to information and education on the futures and options industry, which includes an interactive tutorial covering these markets.
Government Finance Officers Association (GFOA) Provides access to GFOA publications, research, announcements, and policy information.
Institute of International Bankers Provides access to background information about the institute, in addition to conference activities, publications and the institute's most recent surveys.
International Compliance Association (ICA) Educates and supports compliance and anti-money laundering professionals globally.
International Financial Services Association (IFSA) Provides access to background information on the association, as well as research and educational materials.
International Organization of Securities Commissions Provides news and information on IOSCO, a document library, upcoming events, annual report, objectives and membership lists.
International Primary Market Association (IPMA) Is a trade association for leading banks and investment banks internationally in their capacity as underwriters and managers of international issues of debt and equity.
International Securities Market Association (ISMA) Now part of the International Capital Markets Association. Provides access to background information about ISMA, which includes details on the regulatory recommendations, educational programs, and market data.
International Securities Services Association (ISSA) Provides access to background information about the association, as well as access to current publications and news.
International Swap and Derivatives Association (ISDA) Provides access ISDA educational information, publications, conferences and association activities.
Investment Company Institute (ICI) Provides access to market statistics, economic and market developments, in addition to coverage of legislation and regulation issues involving mutual funds.
Investment Dealers Association of Canada (IDAC) Provides national self-regulation as the trade association for the Canadian securities industry; acts as the public advocacy and industry spokesperson.
Korea Securities Dealers Association A nonprofit self-regulatory organization which promotes self-regulation in Korea's securities industry. Web site includes investors' guide, stocks, bonds, derivatives, Korean economic news updates, and statistics.
Loan Syndications and Trading Association (LSTA) LSTA promotes the development of a fair, efficient, liquid and professional trading market for corporate loans originated by commercial banks and other similar private debt.
London Investment Banking Association (LIBA) Is the principal trade association in the UK for firms that are active in the investment banking and wholesale securities industry including securities trading and broking in equities, bonds and derivatives.
Managed Funds Association (MFA) Provides access to background information about the association, as well as association publications and conferences.
Mortgage Bankers Association of America (MBAA) Provides details on the news, regulatory, or legislative items of interest to the mortgage-backed securities market, which includes overseas developments in the area of MBS securities. Also provides access to weekly news briefs, a calendar of conferences and upcoming events, as well as information about the products and services offered by the MBAA.
National Association for Business Economics (NABE) Provides access to background information on the association, in addition to special reports, publications and the NABE Economic Policy Survey.
National Association of Bond Lawyers (NABL) Provides access to association publications, a resource library, and upcoming seminars and workshops.
National Association of Counties (NACo) Provides details about the organization, in addition to providing access to weekly legislative reports on congressional activities.
National Association of Investors Corporation (NAIC) Provides access to information about the association, in addition to educational materials on investing.
National Association of Real Estate Investment Trusts® (NAREIT) Provides access to information about the Association, in addition to publications, market research, upcoming conferences and regulation news.
National Association of Real Estate Investment Trusts® (NAREIT) Provides access to information about the Association, in addition to publications, market research, upcoming conferences and regulation news.
National Association of Real Estate Investment Trusts® (NAREIT) Provides access to information about the Association, in addition to publications, market research, upcoming conferences and regulation news.
National Association of Realtors® Provides access to a statistical data bank on the nation's housing industry, press releases, and government affairs issues that may impact the real estate market.
National Association of Securities Dealers (NASD) Provides users with details on new regulatory issues, as well as NASD working papers and other market data.
National Association of Securities Dealers Regulation (NASDR) Provides access to press releases, industry regulation information, general investor information and the Internet version of the NASD manual.
National Council of State Governments (NCSL) Information and links to state legislatures.
National Futures Association Provides access to NFA publications and press releases, in addition to access to details on NFA's Disciplinary Information Access Line (DIAL).
North American Securities Administrators Association, Inc. (NASAA) Provides access to details about the association and its members, in addition information on investor education, the blue sky law, and a comprehensive list of securities regulators.
Securities and Exchange Commission Historical Society Seeks to make available an understanding of the role and contribution that the U.S. Securities and Exchange Commission has made to the evolution of American financial markets.
Securities Industry Association (SIA) Provides access to investor and regulatory information, as well as a special section devoted specifically to the Year 2000 issue.
Securities Investor Protection Corporation (SIPC) Provides access to SIPC news and publications, as well as details on proceedings and liquidations.
Security Traders Association, Inc. (STA) Provides access to background information about the association, in addition to STA activities, news and market surveys.
Security Traders Association, Inc. (STA) Provides access to background information about the association, in addition to STA activities, news and market surveys.
The American Securitization Forum The American Securitization Forum is a broadly-based professional forum through which participants in the U.S. securitization market can advocate their common interests on a number of important legal, regulatory and market practice issues.
The Asset Managers Forum The Asset Managers Forum is an independent trade group that is affiliated with The Bond Market Association. The Forum represents the interests of leading asset managers with respect to operations or securities processing matters. The Forum's Executive Committee has taken on industry mandates to facilitate Y2K Testing, the Euro Conversion, Straight Through Processing and Operational Pricing Procedures.
The Institute of International Finance, Inc. Provides access to background information on the association, in addition to IIF publications and press releases.
Wall Street Technology Association A non-profit organization that provides an educational forum to meet the unique informational needs of information technology and networking professionals in the financial community.

Securities Regulators by State

Securities Commission
770 Washington Avenue
Suite 570
Montgomery, AL 36130-4700
Joseph P. Borg, Esq.
(334) 242-2984
(800) 222-1253
(334) 242-0240 (Fax)


Dept. of Community and Economic Development
Div. of Banking, Securities & Corporations
150 Third Street, Room 217
P.O. Box 110807
Juneau, AK 99811-0807
Mark R. Davis
(907) 465-2521
(907) 465-1230 (Fax)


Corporation Commission
Securities Division
1300 West Washington Street
Third Floor
Phoenix, AZ 85007
Matthew J. Neubert
(602) 542-4242
(602) 594-7470 (Fax)


Securities Department
Heritage West Building
201 East Markham, Room 300
Little Rock, AR 72201-1692
Michael Johnson
Securities Commissioner
(501) 324-9260
(501) 324-9268 (Fax)


Department of Corporations
1515 K Street Suite 200
Sacramento, CA 95814
Preston DuFauchard, Commissioner
(916) 445-7205
(916) 445-7975 (Fax)


Division of Securities
1560 Broadway Street Suite 900
Denver, CO 80202
Fred J. Joseph
Securities Commissioner
(303) 894-2320
(303) 861-2126 (Fax)


Department of Banking
260 Constitution Plaza
Hartford, CT 06103-1800
Ralph A. Lambiase
Director of Securities
(860) 240-8230
(860) 240-8295 (Fax)


Department of Justice
Division of Securities
Carvel State Office Building
820 North French Street, 5th Fl.
Wilmington, DE 19801
James B. Ropp
Securities Commissioner
(302) 577-8424
(302) 577-6987 (Fax)

District of Columbia
Department of Insurance& Securities Regulation
Securities Bureau
810 First Street, NE
Suite 622
Washington, DC 20002
Theodore A. Miles
Director, Securities Bureau
(202) 727-8000
(202) 535-1199 (Fax)

Financial Services Commission
Office of Financial Regulation
200 East Gaines Street
The Fletcher Building
Tallahassee, FL 32399-0372
Don Saxon
(850) 410-9805
(850) 410-9748 (Fax)

Office of the Secretary of State
Division of Business Services and Regulation
Two Martin Luther King, Jr. Drive SE
802 West Tower
Atlanta, GA 30334
Kevin G. Moore
Acting Director, Division of Securities
(404) 656-3920
(404) 651-6451 (Fax)

Department of Commerce & Consumer Affairs
Division of Business Regulation
335 Merchant Street
Room 203
Honolulu, HI 96813
Tung Chan
Commissioner of Securities
(808) 586-2744
(808) 586-2733 (Fax)

Department of Finance
700 West State Street 2nd Floor
Boise, ID 83702
Marilyn T. Chastain
Securities Bureau Chief
(208) 332-8004
(208) 332-8099 (Fax)

Office of the Secretary of State
Securities Department
69 West Washington Street
Suite 1220
Chicago, IL 60602
Tanya Solov
Director of Securities
(312) 793-3384
(800) 628-7937

Office of the Secretary of State
Securities Division
302 West Washington Room E-111
Indianapolis, IN 46204
Wayne Davis
Securities Commissioner
(317) 232-6681
(317) 233-3675 (Fax)

Insurance Division Securities Bureau
340 E. Maple Street
Des Moines, IA 50319-0066
Craig A. Goettsch
Superintendent of Securities
(515) 281-4441
(515) 281-3059 (Fax)

Office of the Securities Commissioner
618 South Kansas Avenue
Topeka, KS 66603-3804
Chris Biggs, Commissioner
(785) 296-3307
(785) 296-6872 (Fax)

Department of Financial Institutions
1025 Capital Center Drive Suite 200
Frankfort, KY 40601
Colleen Keefe, Director of Securities
(502) 573-3390
(800) 223-2579
(502) 573-8787 (Fax)

Securities Commission
Office of Financial Institutions
8660 United Plaza Blvd.
Second Floor
Baton Rouge, LA 70809-7024
Rhonda Reeves
Deputy Securities Commissioner
(225) 925-4512
(225) 925-4548 (Fax)

Securities Division
State House Station 121
Augusta, ME 04333
Michael J. Colleran
Securities Administrator
(207) 624-8551
(207) 624-8590 (Fax)

Office of the Attorney General
Division of Securities
200 Saint Paul Place
Baltimore, MD 21202-2020
Melanie Senter Lubin, Securities Commissioner
(410) 576-6360
(410) 576-6532 (Fax) 

Securities Division
One Ashburton Place
Room 1701
Boston, MA 02108
Bryan Lantagne, Director
(617) 727-3548
(617) 248-0177 (Fax)

Conduct Review & Securities Division
Office of Financial & Ins. Services
Dept. of Labor & Economic Growth
611 West Ottawa St, Third Floor
Lansing, MI 48933
Linda A. Watters
Office of Financial & Insurance Services
(517)241-3953 (Fax)

Department of Commerce
85 East 7th Place
Suite 500
Saint Paul, MN 55101
(651) 296-4026
(651) 296-4328 (Fax)

Office of the Secretary of State
Business Regulation
& Enforcement Division
700 North Street
Jackson, MS 39202
James O. Nelson, II
Assistant Secretary of State
Business Regulation & Securities Division
(601) 359-6371
(601) 359-2663 (Fax)

Office of the Secretary of State
600 West Main Street
Jefferson City, MO 65101
Matt Kitzi
Acting Securities Commissioner
(573) 751-4136
(573) 526-3124 (Fax)

Office of the State Auditor
Securities Department
840 Helena Avenue
Helena, MT 59601
John Morrison
Securities Commissioner
(406) 444-2040
(406) 444-5558 (Fax)

Nebraska Department of Banking & Finance
Commerce Court
1230 "O" Street, Suite 400
PO Box 95006
Lincoln, NE 68509-5006
Jack E. Herstein
Assistant Director
(402) 471-3445

Secretary of State
Securities Division
555 East Washington Avenue
5th Floor, Suite 5200
Las Vegas, NV 89101
Francis Arenas
Interim Securities Administrator
(702) 486-2440
(702) 486-2452 (Fax)

New Hampshire
Bureau of Securities Regulation
State House Annex
Suite 317A 3rd Floor
Concord, NH 03301
Mark Connolly
Deputy Secretary of State
Director of Securities Regulation
(603) 271-1463
(603) 271-7933 (Fax)

New Jersey
Department of Law & Public Safety
Bureau of Securities
153 Halsey Street
6th Floor
Newark, NJ 07102
Franklin L. Widmann
(973) 504-3600
(973) 504-3601 (Fax)

New Mexico
Regulation & Licensing Department
Securities Division
2550 Cerrillos Road
Santa Fe, NM 87505
Bruce R. Kohl
Director of Securities
(505) 476-4580
(505) 984-0617 (Fax)

New York
Office of the Attorney General
Investor Protection & Securities Bureau
120 Broadway
23rd Floor
New York, NY 10271
Gary Connor
First Deputy Bureau Chief
(212) 416-8200
(212) 416-8816 (Fax)

North Carolina
Secretary of State
Securities Division
Old Revenue Complex
2 S. Salisbury Street 
Raleigh, NC 27601
David S. Massey
Deputy Securities Administrator
(919) 733-3924
(919) 821-0818 (Fax)

North Dakota
Securities Commission
600 East Boulevard
State Capitol, 5th Floor
Bismarck, ND 58505-0510
Karen Tyler
(701) 328-2910
(701) 255-3113 (Fax)

Division of Securities
77 South High Street
22nd Floor
Columbus, OH 43215
James Turner
Acting Commissioner
(614) 644-7381
(614) 466-3316 (Fax)

Department of Securities
1st National Center, Suite 860
120 N. Robinson
Oklahoma City, OK 73102
Irving Faught
(405) 280-7700
(405) 280-7742 (Fax)

Department of Consumer
& Business Services
Div. of Finance & Corp. Securities
350 Winter Street, NE
Room 410
Salem, OR 97301-3881
Floyd Lanter
Division Administrator
(503) 378-4387
(503) 947-7862 (Fax)

Securities Commission
Eastgate Office Building
1010 North 7th Street, 2nd Floor
Harrisburg, PA 17102-1410
Robert M. Lam
(717) 787-8061
(717) 783-5122 (Fax)

Puerto Rico
Commission of Financial Institutions
1492 Ponce de Leon Avenue
Suite 600
San Juan, PR 00907
Asdrubal Aponte
Director of Enforcement 
(787) 723-3131 ext. 2222 

Rhode Island
Department of Business Regulation
233 Richmond Street
Suite 232
Providence, RI 02903-4232
Maria D'Alessandro
Associate Director
& Superintendent of Securities
(401) 222-3048
(401) 222-5629 (Fax)

South Carolina
Office of the Attorney General
Securities Division
Rembert C. Dennis Office Building
1000 Assembly Street
Columbia, SC 29201
T. Stephen Lynch
Deputy Securities Commissioner
(803) 734-4731
(803) 734-0032 (Fax)

South Dakota
Division of Securities
445 E Capitol Avenue
Pierre, SD 57501-2000
Gail Sheppick
(605) 773-4823
(605) 773-5953 (Fax)

Department of Commerce & Insurance
Securities Division
Davy Crockett Tower, Suite 680
500 James Robertson Parkway
Nashville, TN 37243-0575
Daphne D. Smith
Assistant Commissioner for Securities
(615) 741-2947
(615) 532-8375 (Fax)

State Securities Board
208 East 10th Street
5th Floor
Austin, TX 78701
Denise Voigt Crawford
Securities Commissioner
(512) 305-8300
(512) 305-8310 (Fax)

U.S. Virgin Islands
Division of Banking and Insurance
18 Kongens Gade
Saint Thomas, VI 00802
Deverita Sturdivant
(340) 774-7166 

Department of Commerce
Division of Securities
160 East 300 South
2nd Floor
Salt Lake City, UT 84111
Jason Perry
Deputy Director
(801) 530-6600
(801) 530-6980 (Fax)

Department of Banking, Insurance,
Securities & Health Care
89 Main Street
Drawer 20
Montpelier, VT 05620-3101
Anna Drummond
Deputy Commissioner of Securities
(802) 828-3420
(802) 828-2896 (Fax)

State Corporation Commission
Division of Securities
& Retail Franchising
1300 East Main Street
9th Floor
Richmond, VA 23219
Ronald W. Thomas
(804) 371-9051
(804) 371-9911 (Fax)

Department of Financial Institutions
Securities Division
150 Israel Rd, SW
Tumwater, WA 98501
Michael E. Stevenson
Director of Securities
(360) 902-8760
(360) 902-0524 (Fax)

West Virginia
Office of the State Auditor
Securities Division
Building 1
Room W-100
Charleston, WV 25305-0230
Chester F. Thompson
Deputy Commissioner of Securities
(304) 558-2257
(877) 982-9148
(304) 558-4211 (Fax)

Department of Financial Institutions
Division of Securities
345 W. Washington Avenue
4th Floor
Madison, WI 53703
Patricia D. Struck
(608) 266-1064
(608) 264-7979 (Fax)

Secretary of State
Securities Division
State Capitol, Room 109
200 W. 24th Street
Cheyenne, WY 82002-0020
Thomas Cowan
Division Director
(307) 777-7370
(307) 777-5339 (Fax)




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