Other sites of interest to investors can be found under the NASD Related Web Sites , Other Markets Online and Investor Resources pages. We recommend that you file a complaint with NASD Regulation. Instructions are available on the NASD Regulation Web site. The National Association of Securities Dealers also has an Office of Individual Investor Services which can offer assistance. Please refer to the Investor Services section of the NASD Web site for background information on this department.
Investors can go on the Web site and look up various brokers or brokerage firms.
The program provides basic administrative data and if there are disciplinary actions, the visitor is asked to file a request online so that the report is e-mailed back the visitor. Click here to refer to DoubleClick's advertising information. You need to review and submit the Corporate Logo Guidelines and Authorization Form. Click here to download the PDF file. Contact your Market Services Director if you have questions.