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Other Related Websites

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  • Take our 12-question quiz and learn what you can do to avoid becoming a victim of investment fraud. Fraud Awareness Quiz
  • State securities regulators can be reached via links maintained by the North American Securities Administrators Association (NASAA). NASAA is a voluntary association of the 65 state, provincial and territorial securities administrators in the United States, Puerto Rico, Canada and Mexico. Its office is located at 10 G Street, NE. Suite 710, Washington, DC 20002. NASAA's main telephone number is (202) 737-0900.
  • Fostering public confidence in truthful advertising was the primary concert that led to the formation of the organizations that today are called Better Business Bureaus - Hawaii (BBB). Although Bureaus are now engaged in a broad spectrum of activities designed to protect and inform the consumer and resolve marketplace disputes, the monitoring of advertising remains a key part of the BBB's overall mission.
  • The Securities and Exchange Commission (SEC) is a federal government regulatory agency with responsibility for administering federal securities laws. The SEC also regulates firms engaged in the purchase or sale of securities, people who provide investment advice and investment companies. The SEC is headquartered at 450 5th Street, NW, Washington, DC 20549. Its main telephone number is (202) 942-7040. The Pacific Regional Office with jurisdiction over Hawaii is located at 5670 Wilshire Blvd., 11th Floor, Los Angeles, CA 90036-3648. The office's main telephone number is (323) 965-3998.
  • The Federal Trade Commission (FTC) acts to prohibit unfair or deceptive practices in commerce. As part of its responsibility, the agency addresses telemarketing scams, investment frauds, franchises and business opportunities. The FTC is headquartered at 600 Pennsylvania Ave., NW, Washington, DC 20580. Its main telephone number (202) 326-2222.
  • NASD Regulation, Inc. is the independent subsidiary of the National Association of Securities Dealers, Inc. (NASD) charged with regulating the securities industry and the Nasdaq Stock Market. The NASD's District 1 office, with responsibility for Hawaii, is located at 525 Market Street, Suite 300, San Francisco, CA 94105-2711. The District 1 office telephone number is (415) 882-1200.
  • The Commodities Futures Trading Commission (CFTC) is the federal regulator and overseer of the trading of commodity futures and option contracts in the United States. Its mission includes protecting customers who use these markets and monitoring the markets to detect and prevent commodity price distortions and market manipulations. The CFTC is headquartered at Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581. Its main telephone number is (202) 418-5000.
  • The Investing Online Resource Center (IORC) is an independent, non-commercial Web site dedicated solely to serving the individual consumer who invests online or is considering doing so.
  • The Investor Protection Trust (IPT) serves as an independent source of non-commercial investor education materials and assists in the prosecution of securities fraud.
  • The National Endowment for Financial Education (NEFE) is a non-profit foundation dedicated to the mission of helping all Americans acquire the information and gain skills necessary to take control of their own finances. To contact NEFE, write to: National Endowment for Financial Education, 5299 DTC Boulevard, Suite 1300, Englewood, CO 800111-3334.
  • The Jumpstart Coalition for Personal Financial Literacy (JUMPSTART) has determined that many young people fail in the management of their first consumer credit experience, establish bad financial management habits, and stumble through their lives learning by trial and error. The Coalition objective is to encourage curriculum enrichment to insure that basic personal financial management skills are attained during the K-12 educational experience. To contact the Jumpstart Coalition, call, write, or email at: (888) 45-EDUCATE, 919 18th Street, NW Suite 300, Washington, DC 20006, info@jumpstartcoalition.org.
  • The National Partners for Financial Empowerment (NPFE) is a coalition of consumer and community organizations, corporations, business organizations, federal, state and local government and non-profit groups dedicated to helping improve personal finance skills. To contact NPFE, send email to: mail@npfe.org.
  • The Investment Company Institute (ICI) is the national association of the American investment company industry. Its membership includes 8,242 mutual funds, 488 closed-end funds, and 8 sponsors of unit investment trusts. Its mutual funds members represent more than 83 million individual shareholders and manage more than $7.4 trillion. For more information, contact the Investment Company Institute at 1401 H STREET, NW, Washington, DC, 20005.
  • The IFCC (IFCCFBI) mission is to address fraud committed over the Internet. For victims of Internet fraud, IFCC provides a convenient and easy-to-use reporting mechanism that alerts authorities of a suspected criminal of civil violation.
  • The Investing Online Resource Center (INVESTING ONLINE) is an organization dedicated to non-commercial investor education. From information on How To Check Out a Broker, Get Started Investing, Resolve Disputes with a Financial Professional; to obtaining help for A Young Person, A New Investor, Nearing Retirement, and Already Retired, there is a wealth of information to help answer your questions.
  • The National Futures Association (NFA) is a self regulatory organization for the US futures industry. Since NFA began operations in 1982, the organization has been committed to protecting the rights of investors in the futures markets.
  • The Small Business Administration (SBA) provides financial, technical and management assistance to help Americans start, run and grow their businesses. Last year, the SBA offered management and technical assistance to more than one million small business owners.
  • The American Association of Retired Persons (AARP) serves people 50 and older through information and education, advocacy and community services provided by a network of local chapters and volunteers. The AARP, among its various activities, offers advice on mastering money skills and financial planning.
  • The Securities Industry/Regulatory Council on Continuing Education has advisory and consultative responsibilities with regard to the development, implementation and ongoing operations of the Securities Industry Continuing Education Program as follows: Maintain liaison with appropriate industry groups and regulators; Recommend updates to the specific content of the Regulatory Element; Recommend updates to the requirement for the Firm Element; and Promote effective implementation of meaningful continuing education to the securities industry.
  • "We are prohibited by law from giving you legal advice, legal opinions, or acting as your private attorney. Therefore, you may wish to contact a private attorney to discuss your legal rights and remedies."

    The Public Investors Arbitration Bar Association (PIABA) is a national bar association that limits its membership to lawyers who specialize in representing individual investors in arbitration and other legal actions. Most PIABA members offer a free initial consultation either by phone or in person.
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