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Securities Investor Protection Corporation (SIPC)
When a brokerage firm is closed due to bankruptcy or other financial difficulties or customer assets are unavailable, SIPC steps in as quickly as possible and, within certain limits, works to return customers’ cash, stock and other securities. Though created by the Securities Investor Protection Act, SIPC is neither a government agency nor a regulatory authority. It is a nonprofit, membership corporation, funded by its member securities broker-dealers. Investors may obtain information about SIPC by contacting SIPC at (202) 371-8300, by visiting the SIPC web site at http://www.sipc.com or by reviewing the SIPC brochure. To learn more about SIPC click here to see the Answers to the 7 Most Asked Questions..
Financial Industry Regulatory Authority (FINRA)
FINRA is the largest non-government regulator for all securities firms doing business in the United States. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services. For more information click here.