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Stockbroker
Associations & Organizations
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@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. |
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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. |
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American
Association of Individual Investors (AAII)
Provides access to background information about the association, in
addition to publications, educational materials, and upcoming
seminars. |
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American
Bankers Association (ABA) Provides
access to details on ABA conferences, educational information and
press releases. |
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American
Bar Association Provides access to association
publications, events, as well as information on current members. |
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American
Economic Association Provides access to details on the
Association, in addition to activities and publications. |
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American
Savings Education Council (ASEC) Provides access
savings education information and materials, in addition to details on
programs and events sponsored by ASEC. |
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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. |
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Association
for Investment Management and Research (AIMR) Provides
access to details about the AIMR, in addition to CFA program
information and investor education. |
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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. |
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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. |
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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. |
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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. |
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Certified
Financial Planner Board of Standards, Inc. A nonprofit
regulatory organization devoted to educating the public about the
benefits of financial planning. |
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Commercial
Real Estate Secondary Market and Securitization Association - CSSA
Provides access to research, association newsletters, a CMBS industry
glossary, and CMBS transactions. |
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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. |
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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. |
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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) (http://www.effas.com). |
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European
Mortgage Federation Provides access to background
information about the Federation, in addition to mortgage statistical
data and current publications. |
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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. |
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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. |
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Financial
Women's Association of New York Provides access to
upcoming events, association news and information. |
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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) |
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Fixed Income
Analysts Society Provides details on upcoming events,
as well as educational and job opportunities. |
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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. |
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Futures
Industry Association (FIA) Provides access to
information and education on the futures and options industry, which
includes an interactive tutorial covering these markets. |
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Government
Finance Officers Association (GFOA) Provides access to
GFOA publications, research, announcements, and policy information. |
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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. |
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International
Compliance Association (ICA) Educates and supports
compliance and anti-money laundering professionals globally. |
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International
Financial Services Association (IFSA) Provides access
to background information on the association, as well as research and
educational materials. |
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International
Organization of Securities Commissions Provides news
and information on IOSCO, a document library, upcoming events, annual
report, objectives and membership lists. |
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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. |
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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. |
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International
Securities Services Association (ISSA) Provides access
to background information about the association, as well as access to
current publications and news. |
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International
Swap and Derivatives Association (ISDA) Provides access
ISDA educational information, publications, conferences and
association activities. |
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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. |
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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. |
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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. |
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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. |
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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. |
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Managed
Funds Association (MFA) Provides access to background
information about the association, as well as association publications
and conferences. |
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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. |
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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. |
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National
Association of Bond Lawyers (NABL) Provides access to
association publications, a resource library, and upcoming seminars
and workshops. |
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National
Association of Counties (NACo) Provides details about
the organization, in addition to providing access to weekly
legislative reports on congressional activities. |
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National
Association of Investors Corporation (NAIC) Provides
access to information about the association, in addition to
educational materials on investing. |
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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. |
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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. |
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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. |
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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. |
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National
Association of Securities Dealers (NASD)
Provides users with details on new regulatory issues, as well as NASD
working papers and other market data. |
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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. |
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National
Council of State Governments (NCSL)
Information and links to state legislatures. |
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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). |
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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. |
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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. |
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Securities
Industry Association (SIA)
Provides access to investor and regulatory information, as well as a
special section devoted specifically to the Year 2000 issue. |
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Securities
Investor Protection Corporation (SIPC)
Provides access to SIPC news and publications, as well as details on
proceedings and liquidations. |
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Security
Traders Association, Inc. (STA)
Provides access to background information about the association, in
addition to STA activities, news and market surveys. |
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Security
Traders Association, Inc. (STA)
Provides access to background information about the association, in
addition to STA activities, news and market surveys. |
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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. |
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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. |
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The
Institute of International Finance, Inc.
Provides access to background information on the association, in
addition to IIF publications and press releases. |
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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. |
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Securities
Regulators by State
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Alabama
Securities Commission
770 Washington Avenue
Suite 570
Montgomery, AL 36130-4700
Joseph P. Borg, Esq.
Director
(334) 242-2984
(800) 222-1253
(334) 242-0240 (Fax)
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Alaska
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
Director
(907) 465-2521
(907) 465-1230 (Fax)
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Arizona
Corporation Commission
Securities Division
1300 West Washington Street
Third Floor
Phoenix, AZ 85007
Matthew J. Neubert
Director
(602) 542-4242
(602) 594-7470 (Fax)
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Arkansas
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)
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California
Department of Corporations
1515 K Street Suite 200
Sacramento, CA 95814
Preston DuFauchard, Commissioner
(916) 445-7205
(916) 445-7975 (Fax)
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Colorado
Division of Securities
1560 Broadway Street Suite 900
Denver, CO 80202
Fred J. Joseph
Securities Commissioner
(303) 894-2320
(303) 861-2126 (Fax)
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Connecticut
Department of Banking
260 Constitution Plaza
Hartford, CT 06103-1800
Ralph A. Lambiase
Director of Securities
(860) 240-8230
(860) 240-8295 (Fax)
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Delaware
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)
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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)
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Florida
Financial Services Commission
Office of Financial Regulation
200 East Gaines Street
The Fletcher Building
Tallahassee, FL 32399-0372
Don Saxon
Commissioner
(850) 410-9805
(850) 410-9748 (Fax)
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Georgia
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)
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Hawaii
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)
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Idaho
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)
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Illinois
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
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Indiana
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)
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Iowa
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)
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Kansas
Office of the Securities
Commissioner
618 South Kansas Avenue
Topeka, KS 66603-3804
Chris Biggs, Commissioner
(785) 296-3307
(785) 296-6872 (Fax)
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Kentucky
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)
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Louisiana
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)
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Maine
Securities Division
State House Station 121
Augusta, ME 04333
Michael J. Colleran
Securities Administrator
(207) 624-8551
(207) 624-8590 (Fax)
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Maryland
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)
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Massachusetts
Securities Division
One Ashburton Place
Room 1701
Boston, MA 02108
Bryan Lantagne, Director
(617) 727-3548
(617) 248-0177 (Fax)
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Michigan
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
Commissioner
Office of Financial & Insurance Services
(877)999-6442
(517)241-3953 (Fax)
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Minnesota
Department of Commerce
85 East 7th Place
Suite 500
Saint Paul, MN 55101
(651) 296-4026
(651) 296-4328 (Fax)
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Mississippi
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)
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Missouri
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)
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Montana
Office of the State Auditor
Securities Department
840 Helena Avenue
Helena, MT 59601
John Morrison
Securities Commissioner
(406) 444-2040
(406) 444-5558 (Fax)
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Nebraska
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
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Nevada
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)
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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)
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New Jersey
Department of Law & Public Safety
Bureau of Securities
153 Halsey Street
6th Floor
Newark, NJ 07102
Franklin L. Widmann
Chief
(973) 504-3600
(973) 504-3601 (Fax)
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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)
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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)
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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)
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North Dakota
Securities Commission
600 East Boulevard
State Capitol, 5th Floor
Bismarck, ND 58505-0510
Karen Tyler
Commissioner
(701) 328-2910
(701) 255-3113 (Fax)
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Ohio
Division of Securities
77 South High Street
22nd Floor
Columbus, OH 43215
James Turner
Acting Commissioner
(614) 644-7381
(614) 466-3316 (Fax)
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Oklahoma
Department of Securities
1st National Center, Suite 860
120 N. Robinson
Oklahoma City, OK 73102
Irving Faught
Administrator
(405) 280-7700
(405) 280-7742 (Fax)
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Oregon
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)
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Pennsylvania
Securities Commission
Eastgate Office Building
1010 North 7th Street, 2nd Floor
Harrisburg, PA 17102-1410
Robert M. Lam
Commissioner
(717) 787-8061
(717) 783-5122 (Fax)
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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
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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)
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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)
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South Dakota
Division of Securities
445 E Capitol Avenue
Pierre, SD 57501-2000
Gail Sheppick
Director
(605) 773-4823
(605) 773-5953 (Fax)
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Tennessee
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)
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Texas
State Securities Board
208 East 10th Street
5th Floor
Austin, TX 78701
Denise Voigt Crawford
Securities Commissioner
(512) 305-8300
(512) 305-8310 (Fax)
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U.S. Virgin Islands
Division of Banking and Insurance
18 Kongens Gade
Saint Thomas, VI 00802
Deverita Sturdivant
Director
(340) 774-7166
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Utah
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)
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Vermont
Department of Banking, Insurance,
Securities & Health Care
Administration
89 Main Street
Drawer 20
Montpelier, VT 05620-3101
Anna Drummond
Deputy Commissioner of Securities
(802) 828-3420
(802) 828-2896 (Fax)
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Virginia
State Corporation Commission
Division of Securities
& Retail Franchising
1300 East Main Street
9th Floor
Richmond, VA 23219
Ronald W. Thomas
Director
(804) 371-9051
(804) 371-9911 (Fax)
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Washington
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)
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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)
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Wisconsin
Department of Financial Institutions
Division of Securities
345 W. Washington Avenue
4th Floor
Madison, WI 53703
Patricia D. Struck
Administrator
(608) 266-1064
(608) 264-7979 (Fax)
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Wyoming
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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