ADMINISTRATORS
ASSOCIATION, INC. (NASAA)
Investing Basics
(BU) Research Plus Patience Equals Investing Success
Alabama Securities Commission, 770 Washington Ave., Suite 570, Montgomery, AL
36130-4700, (334) 242-2984, http://www.asc.state.al.us
Investing Basics/general public/free
Page 3
(BR) Investor Alert
Alaska Department of Community & Economic Development Division of Banking,
Securities & Corporations, 150 Third Street, Room 217, P. O. Box 110807,
Juneau, AK 99811-0807, (907) 465-2521, http://www.dced.state.ak.us/bsc/secur.htm
Investing Basics/general public/free
Page 4
(BU) When “Opportunity” Calls, Take Notes! (2000)
Arizona Corporation Commission, Securities Division, 1300 West Washington, 3rd
Floor, Phoenix, AZ 85007, (602) 542-4242, http://www.azinvestor.gov
Investing Basics/general public/1 page/free
Page 5
(BR) Investor Bill of Rights
Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80203,
(303) 894-2320, http://www.dora.state.co.us/securities
Investing Basics/general public/6 pages/free
Page 6
Investing Basics/general public/free
Page 7
(BR) Be a Smart Investor (2004)
Florida Office of Financial Regulation, State of Florida, 200 East Gaines Street
Tallahassee, FL 32399-0370, (850) 410-9256, http://www.dbf.state.fl.us/licensing
Investing Basics/general public/free
(BR) Investigate Before You Invest; A Guide To Buying Stocks, Bonds and Securities In
Idaho
Idaho Department of Finance, 700 West State Street, 2nd Floor, Boise, ID 83720,
Page 8
(208) 332-8004, http://www.state.id.us./finance/sec.htm
Investing Basics/general public/14 pages/free
(BR) Investment Guide For Illinois Consumers
Illinois Office of Secretary of State, Securities Department, 520 South Second Street,
Suite 200, Lincoln Tower, Springfield, IL 62701, (217) 782-8876
http://www.sos.state.il.us/departments/securities/sec_home.html
Investing Basics/general public/27 pages/free
(BR) Investor Bill of Rights
Indiana Office of the Secretary of State, Securities Division, 302 West Washington,
Room E-111, Indianapolis, IN 46204, (317) 232-6681
http://www.in.gov/sos/securities/index.html
Investing Basics/general public/6 pages/free
(BR) It’s Your Money
Indiana Office of the Secretary of State, Securities Division, 302 West Washington,
Room E-111, Indianapolis, IN 46204, (317) 232-6681
http://www.in.gov/sos/securities/index.html
Investing Basics/general public/3 pages/free
(PKT) Protecting Your Future
Iowa Insurance Division, Securities Bureau, 340 East Maple, Des Moines, IA 50319-
0066, (515) 281-4441, http://www.iid.state.ia.us/Division/Securities
Investing Basics/general public/free
Page 9
(BU) Preying on the Faithful (1997)
Kansas Office of the Securities Commissioner, 618 South Kansas Avenue, 2nd Floor,
Topeka, KS 66603-3804, (785) 296-3307, http://www.securities.state.ks.us
Frauds and Scams/general public/1 page/free
Page 10
(BU) How to Read a Company’s Prospectus
Office of the Attorney General, Division of Securities, 200 St. Paul Place, 20th Floor,
Baltimore, MD 21202-2020, (410) 576-6360,
http://www.oag.state.md.us/Securities/index.htm
Investing Basics/general public/free
Page 11
(BR) Investing Wisely
Mississippi Secretary of State’s Office, Business Regulation & Enforcement Division,
202 North Congress Street, Jackson, MS 39201 P. O. Box 136, Jackson, MS 39205-
0136, (601) 359-6371, http://www.sos.state.ms.us/busserv/securities/securities.html
Investing Basics/general public/free
Page 12
*Collection of life-cycle consumer education topics, including:
Capital Formation
Financial Literacy for Newlywed Couples
Financial Literacy for High School Students
Fraud/Consumer Protection
Planning for Retirement
General Investor Education Resources
Page 13
North Dakota Securities Commission, State Capitol, 5th Floor, 600 East Blvd.,
Bismarck, ND 58505-0510, (701) 328-2910, http://www.state.nd.us/securities
Investing Basics/general public/packet of information/free
Page 14
Ohio Division of Securities, 77 South High Street, 22nd Floor, Columbus, OH 43215,
(614) 644-7381, http://www.securities.state.oh.us
Investing Basics/general public/1 page/free
(W) Rescission
Ohio Division of Securities, 77 South High Street, 22nd Floor, Columbus, OH 43215,
(614) 644-7381, http://www.securities.state.oh.us
Investing Basics/general public/free
Page 15
(BR) Understanding Your Brokerage Account Statement
Oregon Department of Consumer & Business Services, Division of Finance &
Corporate Securities, 350 Winter St., NE, Room 410, Salem, OR 97310-3881, (503)
378-4387, http://www.cbs.state.or.us/external/dfcs
Investing Basics/general public/packet with(BR)s/free
(BR) Look Before You Leap! Alternative Investments to Certificates of Deposit (1995)
Pennsylvania Securities Commission, Eastgate Office Building, 1010 North 7th Street,
2nd Floor, Harrisburg, PA 17102-1410, (717) 787-8061, http://www.psc.state.pa.us
Investing Basics/general public/free
Page 16
South Carolina Office of the Attorney General, Securities Division, Rembert C. Dennis
Office Building, 1000 Assembly Street, Columbia, SC 29201, P. O. Box 11549,
Columbia, SC 29211-1549, (803) 734-4731, http://www.scsecurities.com
Investing Basics/general public/free
(BR) An Investor’s Bill of Rights – Tips from the Utah Department of Commerce
Utah Department of Commerce, Division of Securities, Heber M. Wells Building, 160
East 300 South, 2nd Floor, Salt Lake City, UT 84111, P. O. Box 146760, Salt Lake
City, UT 84114-6760, (801) 530-6600, http://www.securities.state.ut.us
Investing Basics/general public/free
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Virginia State Corporation Commission, Division of Securities & Retail Franchising,
1300 East Main Street, 9th Floor, Richmond, VA 23219, P. O. Box 1197, Richmond
VA 23218, (804) 371-9051,
http://www.state.va.us/scc/division/srf/webpages/homepage.htm
Investing Basics/general public/free
(BR) Investigate Before You Invest
Vermont Department of Banking, Insurance, Securities & Health Care Administration,
89 Main Street, Drawer 20, Montpelier, VT 05620-3101, (802) 828-3420,
http://www.bishca.state.vt.us
Investing Basics/general public/free
(BR) Any Investment Can Look Good Up Front
Washington Department of Financial Institutions, Securities Division, 210 11th Avenue,
S.E., 3rd Floor West, Room 300, Olympia, WA 98504-1200, P.O. Box 9033, Olympia,
WA 98507-9033, (360) 902-8760, http://www.dfi.wa.gov/sd
Investing Basics/general public/3 pages fold-out/free
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(608) 261-9555, http://www.wdfi.org/fi/securities
Investing Basics/general public/25 pages/free
Page 19
(BR) Investor Awareness Series: Yield (2000)
Wyoming Secretary of State, Securities Division, State Capital, Room 109, 200 West
24th Street, Cheyenne, WY 82002-0020, (307) 777-7370,
http://soswy.state.wy.us/securiti/securiti.htm
Investing Basics/general public/free
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Canadian Securities Administrators, http://www.csa-acvm.ca
Investing Basics/general public/free
(BR) Establishing an Effective Plan: The Art of Making Your Money Grow
Autorité des Marchés Financiers, Place de la Cité, Tour Cominar, 2640 boul. Luarier,
bureau 400, Québec, PQ, G1V 5C1 or 800 Square Victoria, 22nd Floor, Montreal, PQ,
H4Z 1G3 Canada, (514) 940-2150, http://wwwlautorite.qc.ca
Investing Basics/general public/free
Page 21
Autorité des Marchés Financiers, Place de la Cité, Tour Cominar, 2640 boul. Luarier,
bureau 400, Québec, PQ, G1V 5C1 or 800 Square Victoria, 22nd Floor, Montreal, PQ,
H4Z 1G3 Canada, (514) 940-2150, http://wwwlautorite.qc.ca
Investing Basics/general public/free
(BR) Investment Planning: You Need the Right Direction to Make Things Happen
Autorité des Marchés Financiers, Place de la Cité, Tour Cominar, 2640 boul. Luarier,
bureau 400, Québec, PQ, G1V 5C1 or 800 Square Victoria, 22nd Floor, Montreal, PQ,
H4Z 1G3 Canada, (514) 940-2150, http://wwwlautorite.qc.ca
Investing Basics/general public/free
(BR) A Primer
British Columbia Securities Commission, Securities Commission, P. O. Box 10142,
Pacific Centre, 701 West Georgia Street, Vancouver, BC, V7Y 1L2 Canada, (604) 899-
6500, http://www.bcsc.bc.ca
Investing Basics/general public/free – available in English and Chinese
Page 22
British Columbia Securities Commission, Securities Commission, P. O. Box 10142,
Pacific Centre, 701 West Georgia Street, Vancouver, BC, V7Y 1L2 Canada, (604) 899-
6500, http://www.bcsc.bc.ca
Investing Basics/general public/free
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INVESTMENT
PRODUCTS
Investment Products
(BR) A Guide to Mining Investments
Arizona Corporation Commission, Securities Division, 1300 W. Washington, 3rd Floor,
Phoenix, AZ 85007, 602-542-4242, http://www.azinvestor.gov
Investment Products/general public/8 pages/free
(W) CD Alternatives
Iowa Insurance Division, Securities Bureau, 340 East Maple, Des Moines, IA 50319-
0066, (515) 281-4441, http://www.iid.state.ia.us/Division/Securities
Investment Products/general public/free
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(W) About Municipal Bonds
Iowa Insurance Division, Securities Bureau, 340 East Maple,
Des Moines, IA 50319-0066, (515) 281-4441,
http://www.iid.state.ia.us/Division/Securities
Investment Products/general public/free
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(BU) Before you buy a callable CD, take notes!
Maryland Office of the Attorney General, Division of Securities, 200 St. Paul Place,
20th Floor, Baltimore, MD 21202-2020, (410) 576-6360
http://www.oag.state.md.us/Securities/index.htm
Investment Products/general public/free
(BR) Viatical Settlements – The Undisclosed Risk; What Every Investor Must Know
Michigan Office of Financial and Insurance Services, Division of Securities, 611 West
Ottawa, Second Floor, Lansing 48933, P. O. Box 30701, Lansing, MI 48909-8201,
(517) 241-6350, http://www.michigan.gov/ofis
Investment Products/general public/free
(BR) Penny Stocks (Revised 1997)
Missouri Office of the Secretary of State, 600 West Main Street, Jefferson City, MO
65101, (573) 751-4136, http://www.sos.mo.gov/securities/investor.asp
Investment Products/general public/free
Page 27
(BR) Digging Deep into Mining (1996)
Nevada Secretary of State, Securities Division, 555 East Washington Avenue, 5th Floor,
Suite 5200, Las Vegas, NV 89101, (702) 486-2440, http://sos.state.nv.us/securities
Investment Products/general public/8 pages/free
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(BR) Stocks (1998)
Wisconsin Department of Financial Institutions, Division of Securities, 345 West
Washington Avenue, 4th Floor, Madison WI 53703, P. O. Box 1768, Madison, WI
53701-1768, (608) 261-9555, http://www.wdfi.org/fi/securities
Investment Products/general public/20 pages/free
(BR) Financial Products: Where to Turn for Liquidity, Risk, and Expected Return
Autorité des Marchés Financiers, Place de la Cité, Tour Cominar, 2640 boul. Luarier,
bureau 400, Québec, PQ, G1V 5C1 or 800 Square Victoria, 22nd Floor, Montreal, PQ,
H4Z 1G3 Canada, (514) 940-2150, http://wwwlautorite.qc.ca
Investment Products/general public/free
Page 29
(BR) Saving for your child’s education (RESPs)
Ontario Securities Commission, Securities Commission, 20 Queen Street West, Suite
1900, Box 55, Toronto, ON, M5H 3S8 Canada, (416) 593-8200,
http://www.osc.gov.on.ca
Investment Products/general public/free – French, English, Tamil, Russian, Polish,
English
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CONSUMER
PROTECTION
Consumer Protection
(BU) When Opportunity Knocks Take Notes!
Alabama Securities Commission, 770 Washington Ave., Suite 570, Montgomery, AL
36130-4700, (334) 242-2984, http://www.asc.state.al.us
Consumer Protection/general public/1 page/free
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(W) Preventing and Resolving Disputes
Insurance Division, Securities Bureau, 340 East Maple, Des Moines, IA 50319-0066,
(515) 281-4441, http://www.iid.state.ia.us/Division/Securities
Consumer Protection/general public/free
Page 33
(BU) Filing a Complaint
Missouri Office of the Secretary of State, 600 West Main Street, Jefferson City, MO
65101, (573) 751-4136, http://www.sos.mo.gov/securities/investor.asp
Consumer Protection/general public/free
Page 34
(BR) Buying a Business Opportunities
Washington Department of Financial Institutions, Securities Division, 210 11th Avenue,
S.E., 3rd Floor West, Room 300, Olympia, WA 98504-1200, P.O. Box 9033, Olympia,
WA 98507-9033, (360) 902-8760, http://www.dfi.wa.gov/sd
Consumer Protection/general public/18 pages/free
Page 35
(BR) A Step by Step Guide to Making a Complaint
Ontario Securities Commission, Securities Commission, 20 Queen Street West, Suite
1900, Box 55, Toronto, ON, M5H 3S8 Canada, (416) 593-8200,
http://www.osc.gov.on.ca
Consumer Protection/general public/free – French and English
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DERIVATIVES
Derivatives
(BR) A Brief Guide To Financial Derivatives
Alaska Department of Community & Economic Development Division of Banking,
Securities & Corporations, 150 Third Street, Room 217, P. O. Box 110807, Juneau, AK
99811-0807, (907) 465-2521, http://www.dced.state.ak.us/bsc/secur.htm
Derivatives/general public/free
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FINANCIAL
PROFESSIONALS
Financial Professionals
(BR) Information for Municipal Securities Investors, Rules Protecting the Investor, Investor
Disputes with Dealers
Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80203, (303)
894-2320, http://www.dora.state.co.us/securities
Financial Professionals/general public/3 pages/free
Page 40
(W) Choosing Investment Advisers and Financial Planners
Iowa Insurance Division, Securities Bureau, 340 East Maple, Des Moines, IA 50319-
0066, (515) 281-4441, http://www.iid.state.ia.us/Division/Securities
Financial Professionals/general public/free
(V) What Every Investor Needs to Know: How to Prevent and Resolve Problems with
Investment Professionals
Office of the Attorney General, Division of Securities, 200 St. Paul Place, 20th Floor,
Baltimore, MD 21202-2020, (410) 576-6360,
http://www.oag.state.md.us/Securities/index.htm
Financial Professionals/general public/free
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(PKT) The Financial Adviser Interview Checklist
Office of the Attorney General, Division of Securities, 200 St. Paul Place, 20th Floor,
Baltimore, MD 21202-2020, (410) 576-6360,
http://www.oag.state.md.us/Securities/index.htm
Financial Professionals/general public/free
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(BR) How to Check Out Your Stockbroker Or Brokerage Firm (2001)
Montana Office of the State Auditor, Securities Department, 840 Helena Avenue,
Helena, MT 59604, P. O. Box 4009, Helena, MT 59604, (406) 444-2040,
http://www.state.mt.us/sao/securities/secintro.htm
Financial Professionals/general public/free
(BR) A Good Market Tip: Get to Know Your Broker Before You Write That Check (1997)
Nevada Secretary of State, Securities Division, 555 East Washington Avenue, 5th Floor,
Suite 5200, Las Vegas, NV 89101, (702) 486-2440, http://sos.state.nv.us/securities/
Financial Professionals/general public/8 pages/free
(BR) “Shopping for Investment Advice: Questions you need to ask” (1997) (English and
French)
North Dakota Securities Commission, State Capitol, 5th Floor, 600 East Blvd.,
Bismarck, ND 58505-0510, (701) 328-2910, http://www.state.nd.us/securities
Financial Professionals/general public/free
(BR) The Informed Investor: Who’s Who In The Financial Planning And Investment
Adviser Field (1999) Ohio Division of Securities, 77 South High Street, 22nd Floor,
Columbus, OH 43215, (614) 644-7381 http://www.securities.state.oh.us
Financial Professionals/general public/12 pages/free
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(BU) Selecting an Investment Adviser: Remember ABC…
Ohio Division of Securities, 77 South High Street, 22nd Floor, Columbus, OH 43215,
(614) 644-7381 http://www.securities.state.oh.us
Financial Professionals/general public/1 page/free
(BR) How to Check Out Your Securities Dealer, Agent or Brokerage Firm
Texas State Securities Board, 208 East 10th Street, 5th Floor, Austin, TX 78701, P. O.
Box 13167, Austin, TX 78711-3167, (512) 305-8300, http://www.ssb.state.tx.us
Financial Professionals/general public/free
(BR) Your Securities Broker or Financial Adviser: Choices for a Bright Future
Autorité des Marchés Financiers, Place de la Cité, Tour Cominar, 2640 boul. Luarier,
bureau 400, Québec, PQ, G1V 5C1 or 800 Square Victoria, 22nd Floor, Montreal, PQ,
H4Z 1G3 Canada, (514) 940-2150, http://wwwlautorite.qc.ca
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Financial Professionals/general public/free
(BU) Know the difference between unrestricted practice dealers and discount brokers
Autorité des Marchés Financiers, Place de la Cité, Tour Cominar, 2640 boul. Luarier,
bureau 400, Québec, PQ, G1V 5C1 or 800 Square Victoria, 22nd Floor, Montreal, PQ,
H4Z 1G3 Canada, (514) 940-2150, http://wwwlautorite.qc.ca
Financial Professionals/general public/free
(BR) Dealers and Advisers: With Whom are you Dealing for Your Investment Services
Ontario Securities Commission, 20 Queen Street West, Suite 1900, Box 55, Toronto,
ON, M5H 3S8 Canada, (416) 593-8200, http://www.osc.gov.on.ca
Financial Professionals/general public/free
Page 45
FRAUDS AND SCAMS
Frauds and Scams
(BU) Affinity Fraud – Scams the Target the Faithful
Alabama Securities Commission, 770 Washington Ave., Suite 570, Montgomery, AL
36130-4700, (334) 242-2984, http://www.asc.state.al.us
Frauds and Scams/general public/free
(BR) A Guide to Multi-Level Marketing Programs and a Warning About Pyramid Schemes
Arizona Corporation Commission, Securities Division, 1300 W. Washington, 3rd Floor,
Phoenix, AZ 85007, 602-542-4242, http://www.azinvestor.gov
Frauds and Scams/general public/8 pages/free
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(BR) Investment Fraud –Before You Invest, Investigate:
Directory of Important Phone Numbers
Arizona Corporation Commission, Securities Division, 1300 W. Washington, 3rd Floor,
Phoenix, AZ 85007, 602-542-4242, http://www.azinvestor.gov
Frauds and Scams/general public/2 pages/free
(V) Investment Scams: What Con Artists Don’t Want You to Know
Arizona Corporation Commission, Securities Division, 1300 W. Washington, 3rd Floor,
Phoenix, AZ 85007, 602-542-4242, http://www.azinvestor.gov
Frauds and Scams/Arizona Version/general public/16 minutes
(BR) Investment Swindles: How They Work and How to Avoid Them
Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80203,
(303) 894-2320, http://www.dora.state.co.us/securities
Frauds and Scams/general public/21 pages/free
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(BR) Recognizing and Avoiding: Con Artists
Connecticut Department of Banking, 260 Constitution Plaza, Hartford, CT 06103-
1800, (860) 240-8230, http://www.state.ct.us/dob/pages/secdiv.htm
Frauds and Scams/general public/1 page/free
(BR) A Financial Guide for Young Consumers: Wheels, Deals & Spiels (2004)
Office of Financial Regulation, State of Florida, 200 East Gaines Street
Tallahassee, FL 32399-0370, (850) 410-9256, http://www.dbf.state.fl.us/licensing
Page 49
Frauds and Scams/general public/free
Page 50
Frauds and Scams/general public/free
Page 51
(V) Investment Scams: What Con Artists Don’t Want You To Know
Maryland Office of the Attorney General, Division of Securities, 200 St. Paul Place,
20th Floor, Baltimore, MD 21202-2020, (410) 576-6360,
http://www.oag.state.md.us/Securities/index.htm
Frauds and Scams/general public/free
(B) How Older Americans Can Avoid Investment Fraud and Abuse
Maryland Office of the Attorney General, Division of Securities, 200 St. Paul Place,
20th Floor, Baltimore, MD 21202-2020, (410) 576-6360,
http://www.oag.state.md.us/Securities/index.htm
Senior Resources/general public/free
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(BU) The Case of Kestral Trust
Maryland Office of the Attorney General, Division of Securities, 200 St. Paul Place,
20th Floor, Baltimore, MD 21202-2020, (410) 576-6360,
http://www.oag.state.md.us/Securities/index.htm
Frauds and Scams/general public/free
(V) Investment Scams – “What Con Artists Don’t Want You to Know”
Massachusetts Secretary of the Commonwealth, Securities Division, One Ashburton
Place, Room 1701, Boston, MA 02108, (617) 727-3548,
http://www.state.ma.us/sec/sct/sctidx.htm
Frauds and Scams/general public/free
(V) Investment Scams – “What Con Artists Don’t Want You to Know”
Michigan Office of Financial and Insurance Services, Division of Securities,
611 West Ottawa, Second Floor, Lansing 48933, P. O. Box 30701, Lansing, MI
48909-8201, (517) 241-6350, http://www.michigan.gov/ofis
Frauds and Scams/general public/free
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(BR) Avoiding Fraud In Your Securities Investments
Ohio Division of Securities, 77 South High Street, 22nd Floor, Columbus, OH 43215,
(614) 644-7381, http://www.securities.state.oh.us
Frauds and Scams/general public/free
Page 54
(BR) Protegiendo Sus Ahorros De Estafadores O Impostores (1993)
Protecting Your Savings From Con Artists
Pennsylvania Securities Commission, Eastgate Office Building, 1010 North 7th Street,
2nd Floor, Harrisburg, PA 17102-1410, (717) 787-8061, http://www.psc.state.pa.us
Frauds and Scams/Spanish & English/general public/free
(BU) What Every Business Should Know About Securities Fraud/What Every Prosecutor
and Police Investigator Should Know About Securities Fraud
Texas State Securities Board, 208 East 10th Street, 5th Floor, Austin, TX 78701, P. O.
Box 13167, Austin, TX 78711-3167, (512) 305-8300, http://www.ssb.state.tx.us
Fraud and Scams/general public/free
Page 55
(BR) Ten Tips to Avoid Investment Fraud (Spanish and English)
Texas State Securities Board, 208 East 10th Street, 5th Floor, Austin, TX 78701, P. O.
Box 13167, Austin, TX 78711-3167, (512) 305-8300, http://www.ssb.state.tx.us
Frauds and Scams/general public/free
(V) Investment Scams – What Con Artists Don’t Want You to Know
Texas State Securities Board, 208 East 10th Street, 5th Floor, Austin, TX 78701, P. O.
Box 13167, Austin, TX 78711-3167, (512) 305-8300, http://www.ssb.state.tx.us
Frauds and Scams/general public/free
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(BR) Investment Fraud (1998)
Wisconsin Department of Financial Institutions, Division of Securities, 345 West
Washington Avenue, 4th Floor, Madison WI 53703, P. O. Box 1768, Madison, WI
53701-1768, (608) 261-9555, http://www.wdfi.org/fi/securities
Fraud and Scams/general public/14 pages/free
(BR) Protecting Your Finances: How to avoid investment frauds and scams
Canadian Securities Administrators, http://www.csa-acvm.ca
Frauds and Scams/general public (seniors)/free
(BR) Don’t take the bait! Advice for seniors on how to avoid fraud
Autorité des Marchés Financiers, Place de la Cité, Tour Cominar, 2640 boul. Luarier,
bureau 400, Québec, PQ, G1V 5C1 or 800 Square Victoria, 22nd Floor, Montreal, PQ,
H4Z 1G3 Canada, (514) 940-2150, http://wwwlautorite.qc.ca
Frauds and Scams/general public/free
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(V) Preying on Those Who Pray
British Columbia Securities Commission, Securities Commission, P. O. Box 10142,
Pacific Centre, 701 West Georgia Street, Vancouver, BC, V7Y 1L2 Canada, (604) 899-
6500, http://www.bcsc.bc.ca
Frauds and Scams/general public/free (Documentary look at Affinity Fraud (19 min)
Page 58
(BU) Protect Yourself from Investment Fraud
Office of the Attorney General, Prince Edward Island, Securities Division, PO Box
2000, Charlottetown, PE, Canada C1A 7N8, (902) 368-4550,
http://www.gov.pe.ca/caag/ccaid-info/index.php3
Frauds and Scams/general public/free
Page 59
MUTUAL
FUNDS
Mutual Funds
(BR) Understanding Mutual Funds
Alaska Department of Community & Economic Development Division of Banking,
Securities & Corporations, 150 Third Street, Room 217, P. O. Box 110807, Juneau, AK
99811-0807, (907) 465-2521, http://www.dced.state.ak.us/bsc/secur.htm
Mutual Funds/general public/free
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(BR) A Brief Guide to Mutual Fund Investing
Maine Securities Division, 121 State House Station, Augusta, ME 04333-0121, (207)
624-8551, http://www.state.me.us/pfr/sec/sec_index.htm
Mutual Funds/general public/free
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(Type of publication - Code)
Page 63
(BR) Understanding Mutual Funds (1997)
Wyoming Secretary of State, Securities Division, State Capital, Room 109, 200 West
24th Street, Cheyenne, WY 82002-0020, (307) 777-7370,
http://soswy.state.wy.us/securiti/securiti.htm
Mutual Funds/general public/28 pages/free
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ONLINE
INVESTING
Online Investing
(BR) Recognizing and Avoiding: Internet Fraud
Connecticut Department of Banking, 260 Constitution Plaza, Hartford, CT 06103-
1800, (860) 240-8230, http://www.state.ct.us/dob/pages/secdiv.htm
Online Investing/general public/1 page/free
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(BU) Get the Facts About Online Investing
Massachusetts Secretary of the Commonwealth, Securities Division, One Ashburton
Place, Room 1701, Boston, MA 02108, (617) 727-3548,
http://www.state.ma.us/sec/sct/sctidx.htm
Online Investing/general public/free
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(BR) ABCs of Online Investing
Oregon Department of Consumer & Business Services, Division of Finance &
Corporate Securities, 350 Winter St., NE, Room 410, Salem, OR 97310-3881, (503)
378-4387, http://www.cbs.state.or.us/external/dfcs
Online Investing/general public/free
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SECURITIES
REGULATION
Securities Regulation
(BR) Business Guide to Selling Securities In Alaska
Alaska Department of Community & Economic Development Division of Banking,
Securities & Corporations, 150 Third Street, Room 217, P. O. Box 110807, Juneau, AK
99811-0807, (907) 465-2521, http://www.dced.state.ak.us/bsc/secur.htm
Securities Regulation/general public/free
(BU) Insiders
Autorité des Marchés Financiers, Place de la Cité, Tour Cominar, 2640 boul. Luarier,
bureau 400, Québec, PQ, G1V 5C1 or 800 Square Victoria, 22nd Floor, Montreal, PQ,
H4Z 1G3 Canada, (514) 940-2150, http://wwwlautorite.qc.ca
Securities Regulation /general public/free
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(BR) Your Guide To Registration of Securities in British Columbia
British Columbia Securities Commission, P. O. Box 10142, Pacific Centre, 701 West
Georgia Street, Vancouver, BC, V7Y 1L2 Canada, (604) 899-6500,
http://www.bcsc.bc.ca
Securities Regulation/general public/free
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SENIOR RESOURCES
Senior Resources
(BU) SENIOR CITIZENS Take Control! Don’t lose your money to a scam
Alabama Securities Commission, 770 Washington Ave., Suite 570, Montgomery, AL
36130-4700, (334) 242-2984, http://www.asc.state.al.us
Senior Resources/general public/free
(BU) How Older Americans Can Avoid Investment Fraud and Abuse
Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80203, (303)
894-2320, http://www.dora.state.co.us/securities
Senior Resources/general public/5 pages/free
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(BR) Fraud Aimed at Older Americans
Indiana Office of the Secretary of State, Securities Division, 302 West Washington,
Room E-111, Indianapolis, IN 46204, (314) 232-6681,
http://www.in.gov/sos/securities/brochures
Senior Resources/ general public/free
(BR) How Older Americans can Avoid Investment Fraud and Abuse
Kansas Office of the Securities Commissioner, 618 South Kansas Avenue, 2nd Floor,
Topeka, KS 66603-3804, (785) 296-3307, http://www.securities.state.ks.us
Senior Resources/general public/free
(B) How Older Americans can Avoid Investment Fraud and Abuse
Maryland Office of the Attorney General, Division of Securities, 200 St. Paul Place,
20th Floor, Baltimore, MD 21202-2020, (410) 576-6360,
http://www.oag.state.md.us/Securities/index.htm
Senior Resources/general public/free
(BR) Tips for Older Investors on How to Avoid Investment Fraud and Abuse
Massachusetts Secretary of the Commonwealth, Securities Division, One Ashburton
Place, Room 1701, Boston, MA 02108, (617) 727-3548,
http://www.state.ma.us/sec/sct/sctidx.htm
Senior Resources/seniors/free
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(BR) Protect Your Nest Egg / A Senior’s Guide to Avoiding Investment Fraud
Missouri Office of the Secretary of State, 600 West Main Street, Jefferson City, MO
65101, (573) 751-4136, http://www.sos.mo.gov/securities/investor.asp
Senior Resources/Seniors/free
*This information is packaged using the two different titles. One is marketed toward
seniors, the other marketed to the general public
(BU) How Older Americans Can Avoid Investment Fraud And Abuse
Ohio Division of Securities, 77 South High Street, 22nd Floor, Columbus, OH 43215,
(614) 644-7381, http://www.securities.state.oh.us
Senior Resources/seniors/general public/free
(BR) How Senior Citizens Can Avoid Investment Fraud & Abuse
South Carolina Office of the Attorney General, Securities Division, Rembert C. Dennis
Office Building, 1000 Assembly Street, Columbia, SC 29201, P. O. Box 11549,
Columbia, SC 29211-1549, (803) 734-4731, http://www.scsecurities.com
Senior Resources/general public/free
(BR) Protecting Your Finances: How to avoid investment frauds and scams
Canadian Securities Administrators, http://www.csa-acvm.ca
Senior Resources/general public/free
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(BU) Your Financial Security in Retirement
Autorité des Marchés Financiers, Place de la Cité, Tour Cominar, 2640 boul. Luarier,
bureau 400, Québec, PQ, G1V 5C1 or 800 Square Victoria, 22nd Floor, Montreal, PQ,
H4Z 1G3 Canada, (514) 940-2150, http://wwwlautorite.qc.ca
Senior Resources/general public/free
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SMALL BUSINESS
INFORMATION
Small Business Information
(PKT) Investor Packet: Multiple Publications
(BRs stickered with Arizona Corp. Commission Contact Information)
8 Reasons Why Small Business Resources Can Help You
A Guide to Making Venture Investments In Small Business
Arizona Corporation Commission, Securities Division, 1300 West Washington,
3rd Floor, Phoenix, AZ 85007, (602) 542-4242, http://www.ccsd.cc.state.az.us
Investing Basics/general public/free
(BR) Simplifying The Capital Formation Process For Small Business Ventures in Idaho
Idaho Department of Finance, 700 West State Street, 2nd Floor, Boise, ID 83720,
(208) 332-8004, http://www.state.id.us./finance/sec.htm
Small Business Information/general public/9 pages/free
(BU) The Maryland SCOR Program: Helping Small Businesses Raise Capital
Maryland Office of the Attorney General, Division of Securities, 200 St. Paul Place,
20th Floor, Baltimore, MD 21202-2020, (410) 576-6360,
http://www.oag.state.md.us/Securities/index.htm
Small Business Information/general public/free
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(BR) Complying with Missouri Securities Laws: A Guide for Small Businesses
Missouri Office of the Secretary of State, 600 West Main Street, Jefferson City, MO
65101, (573) 751-4136, http://www.sos.mo.gov/securities/investor.asp
Small Business Information/small business/free
(BR) An Introduction To The Ohio Securities Laws For Start-Up And Small Businesses
(1999)
Ohio Division of Securities, 77 South High Street, 22nd Floor, Columbus, OH 43215,
(614) 644-7381, http://www.securities.state.oh.us
Small Business Information/general public/free
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(BR) So You Want To Go Public (1997)
Wisconsin Department of Financial Institutions, Division of Securities, 345 West
Washington Avenue, 4th Floor, Madison WI 53703, P. O. Box 1768, Madison, WI
53701-1768, (608) 261-9555, http://www.wdfi.org/fi/securities
Small Business Information/general public/12 pages/free
(W) Exempt Distributions: How your business can issue shares without going public
Ontario Securities Commission, Securities Commission, 20 Queen Street West, Suite
1900, Box 55, Toronto, ON, M5H 3S8 Canada, (416) 593-8200,
http://www.osc.gov.on.ca
Small Business Information/general public/free
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TELEMARKETING
Telemarketing
(PKT) Investor Packet: Multiple Publications
(BRs stickered with Arizona Corp. Commission Contact Information)
"Telemarketing Scams,"
Arizona Corporation Commission, Securities Division, 1300 West Washington,
3rd Floor, Phoenix, AZ 85007, (602) 542-4242, http://www.ccsd.cc.state.az.us
Investing Basics/general public/free
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(BR) Don't Get Burned by a "Boiler Room" Scam
North Carolina Department of the Secretary of State, Securities Division, 300 North
Salisbury Street, Suite 100, Raleigh, NC 27603-5909,
http://www.secretary.state.nc.us/sec
Telemarketing/general public/free
Page 83
YOUTH
RESOURCES
Youth Resources
(B) Personal Finance for the Economics Classroom
Alabama Securities Commission, 770 Washington Ave., Suite 570, Montgomery, AL
36130-4700, (334) 242-2984, http://www.asc.state.al.us
Youth Resources/youth/100 pages
(B) Billy and The Basketball: A Coloring Book About Saving Money
Ohio Division of Securities, 77 South High Street, 22nd Floor, Columbus, OH 43215,
(614) 644-7381, http://www.securities.state.oh.us
Youth Resources/children/12 pages/free
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(B) Personal Finance Topics & Materials for Economics, Business & Family and
Consumer Education Courses
Wisconsin Department of Financial Institutions, Division of Securities, 345 West
Washington Avenue, 4th Floor, Madison WI 53703, P. O. Box 1768, Madison, WI
53701-1768, (608) 261-9555, http://www.wdfi.org/fi/securities
Youth Resources/teachers for youth/80 pages
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