About Us
Aside from administering and enforcing federal securities laws in order to maintain fair, honest, and efficient markets
Fighting securities fraud, however, requires teamwork. At the heart of effective investor protection is an educated and cautious investor. While it is the primary overseer and regulator of the securities markets, the works closely with many different institutions, including other federal departments and agencies, the self regulatory organizations, state securities regulators, and various private sector organizations.
Aside from administering and enforcing federal securities laws in order to maintain fair, honest, and efficient markets, The Financial Integrity Authority has continuously committed itself to disseminating information to the investing public in a timely and efficient manner, one channel of which is through its website that offers the public a wealth of informational resources.
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Common Types of Investment Fraud
Be on the alert for investment fraud! According to the U.S. Securities and Exchange Commission, the following investment scams are commonly used to target Americans:
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Rule 144 Selling Restricted Securities
When you acquire restricted securities or hold control securities, you must find an exemption from the US Regulator's registration requirements to sell them in the marketplace. Rule 144 allows...
More F.I.A FAQs
How to Buy and Sell Stocks
Okay, so you've decided you want to try investing in the stock market, but how do you actually go about buying and selling stocks?
Well, there are two main ways you can go about trading...
More F.I.A Resources
Regulator Update
Press Release: FDIC Issues List of Banks Examined for CRA Compliance
Mon, 05 Oct 2026 09:31:24 -0500
Mon, 05 Oct 2026 09:31:24 -0500
Press Release: Agencies Publish Resolution Plan Feedback Letters for 15 Banking Organizations
Tue, 29 Sep 2026 15:02:30 -0500
Tue, 29 Sep 2026 15:02:30 -0500
Press Release: Sunwest Bank Assumes All Deposits and Certain Assets of Nano Banc, Irvine, California
Fri, 25 Sep 2026 18:09:49 -0500
Fri, 25 Sep 2026 18:09:49 -0500
SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding
Wed, 14 Oct 2026 10:30:47 -0400
Wed, 14 Oct 2026 10:30:47 -0400
SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
Fri, 09 Oct 2026 10:59:00 -0400
Fri, 09 Oct 2026 10:59:00 -0400
SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
Tue, 06 Oct 2026 16:30:24 -0400
Tue, 06 Oct 2026 16:30:24 -0400
SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Tue, 06 Oct 2026 10:37:55 -0400
Tue, 06 Oct 2026 10:37:55 -0400
SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
Mon, 05 Oct 2026 08:47:36 -0400
Mon, 05 Oct 2026 08:47:36 -0400
FINRA Launches Enhanced Investor Education and Protection Tools to Help Research Markets and Recognize Fraud
Tue, 13 Oct 26 12:00:00 +0000
Tue, 13 Oct 26 12:00:00 +0000
FINRA Fines Revere Securities $800,000 for Small-Cap IPO-Related AML and Supervisory Failures
Tue, 06 Oct 26 12:00:00 +0000
Tue, 06 Oct 26 12:00:00 +0000
New Research Finds Most Investors Lack Advanced Investment Knowledge, Increasing Their Exposure to Investment Risk
Mon, 05 Oct 26 12:00:00 +0000
Mon, 05 Oct 26 12:00:00 +0000
FINRA Foundation and AFCPE® Select the 2026 FINRA Foundation Military Spouse Fellows
Tue, 29 Sep 26 12:00:00 +0000
Tue, 29 Sep 26 12:00:00 +0000
Contact
Location:
5000 Wissahickon Ave #1, Philadelphia, PA 19144, USA
Email:
probe@gov.fia-us.org | audit@gov.fia-us.org
Call:
+1 (445) 308 0777