2007-03-06 07:39:50 · 3 answers · asked by truckinguy 2 in Business & Finance ➔ Investing
None; securities brokerage is a federally regulated industry. The regulator is the Securities and Exchange Commission:
http://www.sec.gov/
There is also a self-regulatory organization, National Association of Securities Dealers (NASD):
http://www.nasd.com/
2007-03-06 10:07:45 · answer #1 · answered by NC 7 · 0⤊ 0⤋
The National Association of Securities Dealers (NASD).
If you have a complaint or need help with filing one go to:
https://apps.nasd.com/Investor_Information/Complaints/complaintCenter.asp
This is the NASD's Investor Complaint Center.
2007-03-06 08:21:39 · answer #2 · answered by Anonymous · 0⤊ 0⤋
It is the same as in the rest of the country -- the SEC.
2007-03-06 07:45:59 · answer #3 · answered by Ranto 7 · 0⤊ 0⤋