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FatBomb Search
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SEC Roadmap: Picking a Financial Pro
"... also hire a broker, an investment adviser, an accountant, a financial planner ... The broker should ask you about your investment goals and personal financial situation, including your income, net worth ... "
http://www.sec.gov/investor/pubs/roadmap/pick.htm
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Mortgage Broker Forms
SOUTH CAROLINA DEPARTMENT OF CONSUMER AFFAIRS ... MORTGAGE BROKER FORMS. Ask Consumer Affairs Click Below
http://www.scconsumer.gov/licensing/mortgage_brokers/forms.htm
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Your Investment Options
"Opening a Brokerage Account – What every investor should know before signing a new account agreement, including questions your broker should ask you and information about margin accounts. "
http://www.sec.gov/investor/pubs/investop.htm
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Fast Answers
"... represent) a corporate issuer , broker-dealer , investment adviser , investment company , or accountant ... How to Find a Lawyer Specializing in Securities; Arbitration, Limited Appeal Rights, SEC role "Ask ... "
http://www.sec.gov/answers.shtml
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Pink Sheets
"Ask your broker-dealer whether it has any Rule 15c2-11 information before you invest. For information on the risks of investing in small companies, be sure to read our brochure, Microcap Stock: "
http://www.sec.gov/answers/pink.htm
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Dealing with a Broker/Agent
Never sign blank forms to avoid misunderstandings and possible fraud. Ask the Broker-Agent to explain any wording you think is ambiguous . Obtain copies of the documents relating to your insurance ...
http://www.insurance.ca.gov/0100-consumers/0060-information-guides/0060-other-topics/dealing-with-broker-agent.cfm
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California Department of Real Estate: Using the Services of a Mortgage ...
"Always ask your broker for the length of the lock and if there is any lender charge for locking the interest rate of your loan. Always ask for a written lock-in agreement, signed by the mortgage ... "
http://www.dre.ca.gov/mlbrkr.htm
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Certificates of Deposit: Tips for Investors
"Confirm with your broker how your CD is held, and be sure to ask for a copy of the exact title of the CD. If several investors own the CD, the deposit broker will probably not list each person's name ... "
http://www.sec.gov/investor/pubs/certific.htm
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Broker-Dealer Registration
"Broker-Dealer Registration. Under Section 15 of the Securities Exchange Act of 1934, most "brokers" and ... you aren't certain, you may want to review SEC interpretations, consult with your attorney, or ask ... "
http://www.sec.gov/answers/bdregis.htm
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Questions to Ask About the Year 2000
"The best advice we can give anyone concerned about the year 2000 problem is to ask questions. As a Customer of a Brokerage or a Shareholder of an Investment Company, Ask Your Broker or Money Manager "
http://www.sec.gov/news/extra/y2k/y2kaskit.htm
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Looking for the Best Mortgage?
You should ask each broker you work with how he or she will be compensated so that you can compare the different fees. Be prepared to negotiate with the brokers as well as the lenders. Obtain All Important ...
http://www.ftc.gov/bcp/conline/pubs/homes/bestmorg.pdf
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Broker Fee Regulations Summary
Consumers should ask the broker if the insurer offers its own installment payment plan. Insurer installment plans are often cheaper than premium financing through a separate premium finance company.
http://www.insurance.ca.gov/0250-insurers/0500-legal-info/0500-gen-legal-info/0100-brkr-fee-reg-summ/index.cfm
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Broker-Dealer Compliance Guide
"Here are some of the questions that you should ask to determine whether you are acting as a broker: Do you participate in important parts of a securities transaction, including solicitation ... "
http://www.sec.gov/divisions/marketreg/bdguide.htm
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Investigate before you invest pamphlet
"If you are considering the assistance of a stock broker, investment advisor, or financial planner, use great care when selecting one. Ask for recommendations from friends you know to be successful ... "
http://www.sos.state.ms.us/regenf/Securities/Investigate.asp
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Investor Alert: Cold Calling
Ask your broker these questions: Is the investment registered with the SEC and the state securities agency where I live? How long has the company been in business? Is it making money? If so ...
http://www.sec.gov/investor/pubs/coldcall.htm
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Broker-Dealers: Why They Ask for Personal Information
summary info ... Broker-Dealers: Why They Ask for Personal Information. Brokers generally request personal information ...
http://www.sec.gov/answers/bd-persinfo.htm
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California Department of Corporations - Check Out Your Broker!
Listing of California Department of Corporations Press Releases and In the News. ... Contact the Webmaster if you have questions or comments concerning this site or call 1-866-ASK-CORP ...
http://www.corp.ca.gov/pub/brokerlinks.htm
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Check Out Brokers and Investment Advisers
"This is very important, because if you do business with an unlicensed securities broker or a firm ... You can ask either your state securities regulator or NASD to provide you with information from ... "
http://www.sec.gov/investor/brokers.htm
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Investor Tips: Trade Execution
"Ask your broker about the firm's policies on payment for order flow, internalization, or other routing practices – or look for that information in your new account agreement. "
http://www.sec.gov/investor/pubs/tradexec.htm
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FDIC: Certificates of Deposit: Tips for Savers
"Ask Whether Your Broker Can Sell Your CD – Some brokered CDs are issued in the name of the "custodian" or deposit brokers. In some cases, the deposit broker may advertise that the CD does not have a ... "
http://www.fdic.gov/deposit/deposits/certificate/index.html
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