Skip to main content
Securities & Retail Franchising
Please note: The SCC website will be unavailable Thursday, September 18, from 6 p.m. until 10 p.m. for system maintenance. We apologize for the inconvenience and appreciate your patience.
Division of Securities & Retail Franchising
File a Complaint
Find Agent of Issuer
Find Trade/Service Marks
Agent of Issuer
Investor Education Spotlights
Peer to Peer (P2P) Lending – Assessing the Risks
Investor Bulletin on Life Settlements
Tips for Checking Out Your Broker
What is a Trademark or Service Mark?
The Franchise Disclosure Document – What does it tell you?
Notice: Stanford Financial Group
Promissory Notes: Promises, Problems
Mutual Fund Fees and Discounts
Your Financial Health: Developing a Financial Plan
Need additional information? Contact
Website questions? Contact:
We provide external links throughout our site.
Excel (.xls) Viewer
PowerPoint (.ppt) Viewer
Word (.doc) Viewer