January 2008
Beginner to intermediate
224 pages
3h 16m
English
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Chapter 61. Due diligence
Before investing in anything, you should always do your homework.
To assist in evaluating the broker or salesman looking to sell you an investment, go to the BrokerCheck service of the National Association of Securities Dealers (NASD), a private regulatory organization at www.nasd.com/index.htm, or call them at 800-289-9999 to confirm that the salesperson is licensed to sell investments. You can also check at that Web site to learn whether there are any complaints against the broker as well as any disciplinary proceedings or criminal convictions. In addition, you can check on whether the investment itself is registered. Follow this up with a look into these same issues with your own state securities regulators and the ...
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