The National Futures Association (NFA) www.nfa.futures.

org
300 S. Riverside Plaza, #1800
Chicago, IL 60606-6615
312-781-1300
800-621-3570
The NFA is the agency which regulates the futures industry in the United States.

United States Securities and Exchange Commission (SEC) www.sec.gov

SEC Headquarters
100 F Street, NE
Washington, DC 20549
(202) 942-8088
800-SEC-0330(Information Service)
888-SEC-6585 (General SEC Information)
The SEC is an independent regulatory agency with the responsibility for administering the federal
securities laws. It also provides a list of investor alerts to protect securities investors.

New York State Department of Financial Services www.dfs.ny.gov

Banking Department/Insurance Department
One State Street
New York, NY 10004-1511
800-342-3736
212-480-6400
518-474-6600

Arbitration Forums:

Financial Industry Regulatory Authority (FINRA)

One Liberty Plaza
165 Broadway
New York, NY 10006
212-858-4000

Helpful Internet Resources:

The University of Cincinnati's Center for Corporate Law provides the full text of the Securities
Act of 1933, The Securities Exchange Act of 1934, and their related rules and regulations.
http://www.law.uc.edu/CCL/

The Securities Class Action Clearinghouse is a site operated by The Stanford University School of
Law. This database provides a wealth of information on securities fraud along with a helpful search
engine. Investors can monitor companies currently being sued for securities misconduct or with a
history of such impropriety. http://securities.stanford.edu/index.html

The Better Business Bureau=s website provides access to business and consumer alerts as well as
many other useful resources. It will also enable one to file a complaint online. It will also provide the
contact numbers for over 150 Bureaus located throughout the United States and Canada.
http://www.bbb.org/