Regulatory Bodies for Financial Markets in Georgia: A Guide to Securities Regulation

In contrast to bank accounts and other funds held by federally insured institutions, stocks, bonds, and other securities are not guaranteed by the federal government. This leaves investors vulnerable to losses. Before investing, it is essential to conduct thorough research and ask questions about products and companies offering them.

Investment Research Resources

• The Financial Industry Regulatory Authority (FINRA) offers resources for researching entities.
• The Investment Adviser Public Disclosure website provides additional information.
• The U.S. Securities and Exchange Commission (SEC) oversees key participants in the securities world, including exchanges, brokers, advisors, and mutual funds.

The U.S. Securities and Exchange Commission (SEC)

The SEC is responsible for protecting investors and maintaining fair markets. Consumers can review the SEC’s general guide to investments on their website at investor.gov/introduction-investing. The commission also handles complaints from consumers, which can be filed online at sec.gov/complaint/select.shtml.

State Regulation of Securities in Georgia

In addition to the SEC, individual states regulate certain securities. In Georgia, the Secretary of State serves as the Commissioner of Securities and regulates the offer and sale of securities within and from the state. Consumers can file a complaint with the Secretary of State regarding securities issues that have taken place in Georgia by visiting sos.ga.gov.