The Financial Industry Regulatory Authority (FINRA), formerly NASD, provides a mechanism for investors to obtain information about FINRA member broker-dealers and their agents.

The U.S Securities and Exchange Commission's (SEC) Public Disclosure Program provides investors access to information about an investment adviser, its business operations, and certain disciplinary events. 

Arbitration and Dispute Resolution - FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, securities firms, and individual registered representative.

The Securities Investor Protection Corporation (SIPC), created by the Securities Investor Protection Act (15 U.S.C. §78aaa et seq., as amended), is neither a government agency nor a regulatory authority. It is a nonprofit, membership corporation, funded by its member securities broker-dealers.