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The Financial Industry Regulatory Authority (FINRA), is the largest independent regulator for all securities firms doing business in the United States.
The Securities Investor Protection Corporation (SIPC) was created in 1970 as a non-profit, non-government, membership corporation, funded by member broker-dealers. Its primary role is to return funds and securities to investors if the broker-dealer holding these assets becomes insolvent.
U.S. Securities and Exchange Commission
Advancement and Strategic Initiatives programs provide the formal mechanism which insures the proper utilization of the talents of faculty, deans, administration, staff and all other persons closely involved in activities designed to advance the understanding and support of the institution.
A site that explains where our customer assets are held and the services provided.