Financial Education

NORTH AMERICAN SECURITIES
ADMINISTRATORS
ASSOCIATION, INC. (NASAA)
MEMBER INVESTOR EDUCATION

PUBLICATIONS BY
CATEGORY
NASAA Investor Education Coordination Project Group

Updated August 2004
INVESTING
BASICS
NASAA MEMBER
INVESTOR EDUCATION MATERIALS
BY CATEGORY
Investing Basics
(BU) Research Plus Patience Equals Investing Success
Alabama Securities Commission, 770 Washington Ave., Suite 570, Montgomery, AL
36130-4700, (334) 242-2984, http://www.asc.state.al.us
Investing Basics/general public/free
(BU) The Investor Bill of Rights

Investing Basics/general public/1 page/free
(BU) Challenge Your Financial Skills Crossword Puzzle

(BR) Investing In Securities

Alaska Department of Community & Economic Development Division of Banking,
Securities & Corporations, 150 Third Street, Room 217, P. O. Box 110807, Juneau, AK
99811-0807, (907) 465-2521, http://www.dced.state.ak.us/bsc/secur.htm
(BR) What Every Investor Needs to Know

(BR) Invest Wisely

Securities & Corporations, 150 Third Street, Room 217, P. O. Box 110807,
Juneau, AK 99811-0807, (907) 465-2521
http://www.dced.state.ak.us/bsc/secur.htm
(Type of publication - Code)
Code: A=audio, B=book, BR=brochure, BU=bulletin (one page), MG=magazine, NL=newsletter,

PKT=packet, V=video W=web resource only
Page 3
(BR) Investor Alert
Securities & Corporations, 150 Third Street, Room 217, P. O. Box 110807,
Juneau, AK 99811-0807, (907) 465-2521, http://www.dced.state.ak.us/bsc/secur.htm
(PKT) Investor Packet: Multiple Publications

Arizona Corporation Commission, Securities Division, 1300 West Washington, 3rd
Floor, Phoenix, AZ 85007, (602) 542-4242, http://www.azinvestor.gov
(BRs stickered with Arizona Corp. Commission Contact Information)
8 Reasons Why Small Business Resources Can Help You
10 Questions to Ask When Choosing a Financial Planner
16 Questions That Can Turn Off an Investment Swindle
A Guide to Making Venture Investments In Small Business
A Guide to Understanding Mutual Funds
Arbitration: A Way To Resolve Futures Related Disputes
Arizona Corporation Commission’s "Investigate Before You Invest"
Bank Products--What's Insured and What's Not
Basics of Savings and Investing Teacher's Guide(Teachers Only)
Basics of Foreign Trade Exchange
Beware of Penny Stock Fraud
Business Opportunity Swindles
Buying Options in Futures Contracts
Choosing A Financial Planner
Consumer and Business Publications List/Order Form
Consumer Information Catalog
Derivatives--From Vanilla to Exotic
Facts for Consumers: "Reloading Scams--Double Trouble for Consumers,"
"Telemarketing Scams,"
"Wealth-building Scams,"
Financial Literacy: Making Life Better for the Next Generation of American Investors
Five Biggest Problems For Seniors
Frauds and Scams: Protect Yourself and Your Money
Getting the Facts on Saving and Investing
Glossary of Futures Terms
How To Avoid A Ponzi or Pyramid Scheme
How to Establish, Use, and Protect Credit
How To Protect Your Money
Investment Risks

Page 4
(BU) When “Opportunity” Calls, Take Notes! (2000)
Floor, Phoenix, AZ 85007, (602) 542-4242, http://www.azinvestor.gov
(BR) How to Investigate Before You Invest

Floor, Phoenix, AZ 85007, 602-542-4242, http://www.azinvestor.gov
Investing Basics/general public/5 pages
(BU) Investor Bill of Rights

Investing Basic/general public//1 page/free
(PKT) Personal Finance for the Economics Classroom (Teacher’s Guide)

Investing Basics/educators/free
(PKT) Basics of Saving and Investing (Teacher’s Guide)

Arizona Corporation Commission, Securities Division, 1300 W. Washington, 3rd Floor,
Phoenix, AZ 85007, 602-542-4242, http://www.azinvestor.gov
Investing Basics/educators/free
(BR) Information For Investors

California Department of Corporations, 1515 K Street, Suite 200, Sacramento, CA
95814, (916) 445-7205, http://www.corp.ca.gov
Investing Basics/general public/8 pages/free
(B) California: Basics of Savings & Investing, A Teaching Guide

Investing Basics/teaching community only/100 pages approx.
(V) No profit – No return

Investing Basics/general public/AARP video used for training purposes
(BU) Investigate Before You Invest Checklist


Page 5
(BR) Investor Bill of Rights
Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80203,
(303) 894-2320, http://www.dora.state.co.us/securities
(BR) Invest Wisely

(BU) When Your Broker Calls, Take Notes

(V) What Every Investor Needs to Know

(BR) What Every Investor Needs to Know

Investing Basics/ general public/19 pages/free
(BR) How to be an Informed Investor

Connecticut Department of Banking, 260 Constitution Plaza, Hartford, CT 06103-
1800, (860) 240-8230, http://www.state.ct.us/dob/pages/secdiv.htm
(BR) Cold Calling Alert

Telemarketing/general public/1 page/free
(BR) An Investor’s Basic Rights

(BR) Get the Facts on Saving and Investing (SEC)

Delaware Department of Justice, Division of Securities, 820 North French Street, 5th
Floor, Carvel State Office Building, Wilmington, DE 19801, (302) 577-8424
http://www.state.de.us/securities/index.htm

Page 6
(BR) The Power to Choose (ASEC)

(BR) Why Save for Retirement ? (ASEC)

(BR) Getting Ready to Invest (NASD)

(BR) Questions You Should Ask About Your Investments


Telemarketing/general public/free
(BU) Investor Bill of Rights (1997)

(BU) When Your Broker Calls, Take Notes (1998)

Investing Basics/general public/notepad/free

Page 7
(BR) Be a Smart Investor (2004)
Florida Office of Financial Regulation, State of Florida, 200 East Gaines Street
Tallahassee, FL 32399-0370, (850) 410-9256, http://www.dbf.state.fl.us/licensing
(BR) Shopping for a Home Mortgage

(V) If It Sounds Too Good To Be. . .: True Stories (Jan. 2000)

Investing Basics/general public/10 minutes
(BR) Investigate Before You Invest (1998)

Georgia Office of Secretary of State, Division Business Services and Regulation,
Two Martin Luther King, Jr. Drive SE, 802 West Tower, Atlanta, GA 30334,
(404) 656-3920, http://www.sos.state.ga.us/Securities
(BR) “How to be an Informed Investor”

Hawaii Department of Commerce & Consumer Affairs, 1010 Richards Street,
2nd Floor, Honolulu, HI 96813, (808) 586-2744, http://www.hawaii.gov/dcca
(V) Academies of Finance
Hawaii Department of Commerce & Consumer Affairs, 1010 Richards Street, 2nd
Floor, Honolulu, HI 96813, (808) 586-2744, http://www.hawaii.gov/dcca
Investing Basics/general public
(V) Estate Planning

(V) Securities Market

(BR) Investigate Before You Invest; A Guide To Buying Stocks, Bonds and Securities In
Idaho
Idaho Department of Finance, 700 West State Street, 2nd Floor, Boise, ID 83720,

Page 8
(208) 332-8004, http://www.state.id.us./finance/sec.htm
(BR) Investment Guide For Illinois Consumers
Illinois Office of Secretary of State, Securities Department, 520 South Second Street,
Suite 200, Lincoln Tower, Springfield, IL 62701, (217) 782-8876
http://www.sos.state.il.us/departments/securities/sec_home.html
(BR) Investor Bill of Rights
Indiana Office of the Secretary of State, Securities Division, 302 West Washington,
Room E-111, Indianapolis, IN 46204, (317) 232-6681
http://www.in.gov/sos/securities/index.html
(BR) It’s Your Money
Room E-111, Indianapolis, IN 46204, (317) 232-6681
(PKT) Protecting Your Future
Iowa Insurance Division, Securities Bureau, 340 East Maple, Des Moines, IA 50319-
0066, (515) 281-4441, http://www.iid.state.ia.us/Division/Securities
(BR) Do’s and Don’ts For Investors

(BR) Before You Invest

(BU) Investment Profile Quiz

(BR) 10 Do’s and Don’ts For Investors

Kansas Office of the Securities Commissioner, 618 South Kansas Avenue, 2nd Floor,
Topeka,
KS 66603-3804, (785) 296-3307, http://www.securities.state.ks.us

Page 9
(BU) Preying on the Faithful (1997)
Topeka, KS 66603-3804, (785) 296-3307, http://www.securities.state.ks.us
Frauds and Scams/general public/1 page/free
(BR) Advice for Kansas Investors

(BR) Understanding Your Brokerage Account Statements

(BR) Questions to Ask About Investments *English and Spanish

(BU) Check Before You Invest

(BR) 10 Do’s and Don’ts for Investors

Kentucky Department of Financial Institutions, 1025 Capital Center Drive, Suite 200,
Frankfort, KY 40601, (502) 573-3390, http://www.dfi.ky.gov
(BR) Unsuitable Investments


Page 10
(BU) How to Read a Company’s Prospectus
Office of the Attorney General, Division of Securities, 200 St. Paul Place, 20th Floor,
Baltimore, MD 21202-2020, (410) 576-6360,
http://www.oag.state.md.us/Securities/index.htm
(B) Understanding Your Brokerage Account Statements

Maryland Office of the Attorney General, Division of Securities, 200 St. Paul Place,
20th Floor, Baltimore, MD 21202-2020, (410) 576-6360,
(BU) When Your Broker Calls, Take Notes!

(BR) 10 Do’s and Don’ts for Investors

Massachusetts Secretary of the Commonwealth, Securities Division, One Ashburton
Place, Room 1701, Boston, MA 02108, (617) 727-3548,
http://www.state.ma.us/sec/sct/sctidx.htm
(V) It’s Your Money – Keeping Track of Your Investments

Michigan Office of Financial and Insurance Services, Division of Securities, 611 West
Ottawa, Second Floor, Lansing 48933, P. O. Box 30701, Lansing, MI 48909-8201,
(517) 241-6350, http://www.michigan.gov/ofis
(BU) Securities Consumer Alert – Investor Bill of Rights

Investor Basics/general public/free
(BR) Be An Informed Investor


Page 11
(BR) Investing Wisely
Mississippi Secretary of State’s Office, Business Regulation & Enforcement Division,
202 North Congress Street, Jackson, MS 39201 P. O. Box 136, Jackson, MS 39205-
0136, (601) 359-6371, http://www.sos.state.ms.us/busserv/securities/securities.html
(BR) Investigate Before You Invest

(BR) Investment Tips

Missouri Office of the Secretary of State, 600 West Main Street, Jefferson City, MO
65101, (573) 751-4136, http://www.sos.mo.gov/securities/investor.asp
(BR) Your Securities Account (Revised 1997)

(BR) When a Broker Calls, Take Notes! (1998)

(BR) How to Read a Prospectus (Revised 1997)

(BR) How to Avoid Fraud in Your Securities Investments

Montana Office of the State Auditor, Securities Department, 840 Helena Avenue,
Helena, MT 59604, P. O. Box 4009, Helena, MT 59604, (406) 444-2040
http://www.state.mt.us/sao/securities/secintro.htm
(PKT) Montana Money School Packet


Page 12
*Collection of life-cycle consumer education topics, including:
Capital Formation
Financial Literacy for Newlywed Couples
Financial Literacy for High School Students
Fraud/Consumer Protection
Planning for Retirement
General Investor Education Resources
(BU) Investing Your Time Before Your Money

Nebraska Department of Banking and Finance, Bureau of Securities, 1200 N Street,
Suite 311, Lincoln, NE 68508, P. O. Box 95006, Lincoln, NE 68509-5006, (402) 471-
3445, http://ww.ndbf.org/sec.htm
(BU) Informational Websites for Investors

Nevada Secretary of State, Securities Division, 555 East Washington Avenue, 5th Floor,
Suite 5200, Las Vegas, NV 89101, (702) 486-2440, http://sos.state.nv.us/securities


New York Office of the Attorney General, Investor Protection and Securities Bureau,
120 Broadway, 23rd Floor, New York, NY 10271, (212) 416-8200,
http://www.oag.state.ny.us/investors/investors.html
(BU) Smart Investing (1999)

(BR) Inve$ting 101: Getting to Know You

North Carolina Department of the Secretary of State, Securities Division, 300 North
Salisbury Street, Suite 100, Raleigh, NC 27603-5909, (919) 733-3924,
http://www.secretary.state.nc.us/sec
(PKT) North Dakota Investment Guide (1998)

Page 13
North Dakota Securities Commission, State Capitol, 5th Floor, 600 East Blvd.,
Bismarck, ND 58505-0510, (701) 328-2910, http://www.state.nd.us/securities
Investing Basics/general public/packet of information/free
(BR) Investment Options

(BR) Investment Terms

(BR) Investment Questions

(BR) Investment Tips

(BR) The Informed Investor: Questions For Informed Investors (1997)

Ohio Division of Securities, 77 South High Street, 22nd Floor, Columbus, OH 43215,
(614) 644-7381, http://www.securities.state.oh.us
(BU) Investigate Before You Invest

Investing Basics/general public/sticker/free
(BU) When Your Broker Calls, Take Notes! (1998)

Investing Basics/general public/notepad/free

(BU) THINK: Considerations Before You Invest

Page 14
(BU) Financial Literacy Investor Quiz

(BU) Bookmark (Contains Division’s Web site Address) (2000)

(BU) Preying on the Faithful (1997)

(BR) Understanding Your Brokerage Account Statements

(W) Rescission
(BU) Glossary of Investing & Other Financial Terms

(BU) Check Before You Invest

(BR) Risky Investments (2000) *also available in Spanish

Oregon Department of Consumer & Business Services, Division of Finance &
Corporate Securities, 350 Winter St., NE, Room 410, Salem, OR 97310-3881, (503)
378-4387, http://www.cbs.state.or.us/external/dfcs

Page 15
(BR) Understanding Your Brokerage Account Statement
Investing Basics/general public/packet with(BR)s/free
(BR) Look Before You Leap! Alternative Investments to Certificates of Deposit (1995)
Pennsylvania Securities Commission, Eastgate Office Building, 1010 North 7th Street,
2nd Floor, Harrisburg, PA 17102-1410, (717) 787-8061, http://www.psc.state.pa.us
(BR) THE SMART INVESTOR (BR)s [12 Titles]

Affinity Fraud
Avoiding Internet Fraud
Choosing A Stockbroker
Fraud and Abuse In Financial Planning
Frauds Aimed at Older Americans
High Risk Investments (2004)
Hedge Fund Investments (2004)
Penny Stocks
Ponzi Schemes
Tax Shelters
10 Do’s and Don’ts For Investors
Unsuitable Investments
(BU) Financial Literacy Investor Quiz

(BR) Invierta Sabiamente (Spanish version of Investing Wisely)

Puerto Rico Commissioner of Financial Institutions, 1492 Ponce de Leon Avenue,
Suite 600, San Juan, PR 00907, P. O. Box 11855, Fernandez Juncos Station, San Juan,
PR 00910-3855, (787) 723-3131, http://www.cif.gov.pr/html/message.html
(BR) Investor Education and Information Program

Page 16
South Carolina Office of the Attorney General, Securities Division, Rembert C. Dennis
Office Building, 1000 Assembly Street, Columbia, SC 29201, P. O. Box 11549,
Columbia, SC 29211-1549, (803) 734-4731, http://www.scsecurities.com
(BU) Investigate Before You Invest Checklist

Tennessee Department of Commerce & Insurance, Securities Division, Davy Crockett
Tower, Suite 680, 500 James Robertson Parkway, Nashville, TN 37243-0575, (615)
741-2947, http://www.state.tn.us/commerce/securities
(BR) Before You Buy a Callable CD, Take Notes

Texas State Securities Board, 208 East 10th Street, 5th Floor, Austin, TX 78701, P. O.
Box 13167, Austin, TX 78711-3167, (512) 305-8300, http://www.ssb.state.tx.us
Investment Products/general public/free

(BU) When Your Broker Calls, Take Notes!

(BR) Be Wise – Investing Basics

Utah Department of Commerce, Division of Securities, Heber M. Wells Building, 160
East 300 South, 2nd Floor, Salt Lake City, UT 84111, P. O. Box 146760, Salt Lake
City, UT 84114-6760, (801) 530-6600, http://www.securities.state.ut.us
(BR) An Investor’s Bill of Rights – Tips from the Utah Department of Commerce

(BR) Securities Consumers Guide

Page 17
Virginia State Corporation Commission, Division of Securities & Retail Franchising,
1300 East Main Street, 9th Floor, Richmond, VA 23219, P. O. Box 1197, Richmond
VA 23218, (804) 371-9051,
http://www.state.va.us/scc/division/srf/webpages/homepage.htm
Vermont Department of Banking, Insurance, Securities & Health Care Administration,
89 Main Street, Drawer 20, Montpelier, VT 05620-3101, (802) 828-3420,
http://www.bishca.state.vt.us
(BR) Any Investment Can Look Good Up Front
Washington Department of Financial Institutions, Securities Division, 210 11th Avenue,
S.E., 3rd Floor West, Room 300, Olympia, WA 98504-1200, P.O. Box 9033, Olympia,
WA 98507-9033, (360) 902-8760, http://www.dfi.wa.gov/sd
Investing Basics/general public/3 pages fold-out/free
(BR) It’$ Your Money, How to Take Charge of Your Investment

(BR) Investing Wisely

(BR) Women & Investing: Taking Interest In Your Financial Future

Investing Basics/general public/2 pages tri-fold/free
(BR) Resolving Disputes (1998)
Wisconsin Department of Financial Institutions, Division of Securities, 345 West
Washington Avenue, 4th Floor, Madison WI 53703, P. O. Box 1768, Madison, WI
53701-1768, (608) 261-9555, http://www.wdfi.org/fi/securities
Investing Basis/general public/17 pages/free
(BR) Getting Started (1999)

53701-1768,

Page 18
(608) 261-9555, http://www.wdfi.org/fi/securities
(BR) Investment Basics (1999)

(BR) Basic Investing (1997)

Wyoming Secretary of State, Securities Division, State Capital, Room 109, 200 West
24th Street, Cheyenne, WY 82002-0020, (307) 777-7370,
http://soswy.state.wy.us/securiti/securiti.htm
(BR) Investor Awareness Series: Guaranteed or Not? (2000)

(BR) Investor Awareness Series: Risk (2000)

(BR) Investor Awareness Series: Time Value of Money (2000)

(BR) Investor Awareness Series: Inflation (2000)

(BR) Investor Awareness Series: Dividends (2000)


Page 19
(BR) Investor Awareness Series: Yield (2000)
(BR) Investor Awareness Series: Interest (2000)

(BR) Investor Awareness Series: Capital Gains (2000)

(BR) Starting to Invest (1996)

(BR) Avoiding Investment Problems

Saskatchewan Securities Commission, Securities Commission, 800-1920 Broad Street,
Regina, SK, S4P 3V7 Canada, (306) 787-5645, http://www.ssc.gov.sk.ca
(PKT) Investor Education Kit, includes some or all of the following:

When Your Broker Calls Notepad
Characteristics of Various Types of Securities Chart
Your Investment Planning Worksheet
The Basics of Investing
Choosing Your Advisers
Mutual Funds
The Prospectus
Investing and the Internet
(BR) When Your Broker Calls Notepad

Page 20
Canadian Securities Administrators, http://www.csa-acvm.ca
(BR) Your Investment Planning Worksheet

(BR) The Basics of Investing

(BR) The Prospectus

(BU) Investing Basics

Alberta Securities Commission, Suite 400, 300 – 5th Avenue SW, Calgary, AB Canada
T2P 3C4 (403) 297-6454, http://www.albertasecurities.com
(BU) Top Ten Investing Mistakes

(BU) Investing Wisely – A Resource for Parents and Teachers

(BR) The ABCs of Investing: Getting Off on the Right Foot

Autorité des Marchés Financiers, Place de la Cité, Tour Cominar, 2640 boul. Luarier,
bureau 400, Québec, PQ, G1V 5C1 or 800 Square Victoria, 22nd Floor, Montreal, PQ,
H4Z 1G3 Canada, (514) 940-2150, http://wwwlautorite.qc.ca
(BR) Establishing an Effective Plan: The Art of Making Your Money Grow
(BR) The Prospectus: Required Reading

Page 21
(BR) Investment Planning: You Need the Right Direction to Make Things Happen
(BU) Financial leveraging: A strategy that's not suited for everyone.

(BU) Know your client - A rule to be followed.

(BU) RRSP'S: Sound Advice.

(BU) Beware of crooks who are after your RRSPs!

(BR) A Primer
British Columbia Securities Commission, Securities Commission, P. O. Box 10142,
Pacific Centre, 701 West Georgia Street, Vancouver, BC, V7Y 1L2 Canada, (604) 899-
6500, http://www.bcsc.bc.ca
Investing Basics/general public/free – available in English and Chinese
(BR) Chinese – Basics of Investing

Page 22
(BU) Questions for Informed Investors

(BR) Invest Time Before You Invest Money

Manitoba Securities Commission, Securities Commission, 1130-405 Broadway,
Winnipeg, MB, R3C 3L6, Canada, (204) 945-2548, http://msc.gov.mb.ca/
(W) Money Honey website: http://www.moneyhoney.ca

(BR) A Guide to Securities Investments (French / English)

New Brunswick Securities Commission, 606-133 Prince William Street, Saint John,
NB, 2B5 4Y9 Canada, (506) 658-3060, http://www.nbsc-cvmnb.ca
(BR) Tips on Investing

Securities Commission Of Newfoundland and Labrador, P.O. Box 8700, 2nd Floor,
West Block, Confederation Building, St. John’s, NF, A1B 4J6 (709)729-4189,
http://www.gov.nl.ca/scon
(BR) Financial Planning Tidbits

West Block, Confederation Building, St. John’s, NF, A1B 4J6, (709) 729-4189,
(BR) Wise Investing: Questions to Ask Before You Invest

Saskatchewan Financial Services Commission, 6TH Floor, 1919 Saskatchewan Drive,
Regina, SK, S4P 3V7 Canada, (306) 787-5645, http://www.sfsc.gov.sk.ca

Page 23
INVESTMENT
PRODUCTS
Investment Products
(BR) A Guide to Mining Investments
Investment Products/general public/8 pages/free
(BR) Viatical and Life Settlements as Investments

(BR) Tips for Consumers on Mutual Funds Sold at Banks

(BR) Life Insurance and Annuities: a Guide for Consumers (2003)

(BR) Promissory Notes

Room E-111, Indianapolis, IN 46204, (314) 232-6681,
www.in.gov/sos/securities/brochures
Investment Products/ general public/free
(W) Promissory Notes: Promises, Problems

(W) CD Alternatives

Page 25
(W) About Municipal Bonds
Iowa Insurance Division, Securities Bureau, 340 East Maple,
Des Moines, IA 50319-0066, (515) 281-4441,
http://www.iid.state.ia.us/Division/Securities
(BR) Tax Shelters

(BR) Penny Stocks/Microcap Stocks
(BU) Investing In A Viatical Settlement
(BR) Promissory Notes: Promises, Problems

(BR) Guide to Equity Indexed Annuities (NAIC)

(BR) Variable Annuities: What you should know (U.S. SEC)

(BR) Certificates of Deposit: Tips for Investors (U.S. SEC)


Page 26
(BU) Before you buy a callable CD, take notes!
20th Floor, Baltimore, MD 21202-2020, (410) 576-6360
(BU) How to choose a Franchise or Business Opportunity

(BU) Promissory Notes: Promises, Problems: Before you Invest, Investigate

(BR) Viatical Settlements – The Undisclosed Risk; What Every Investor Must Know
(BR) Penny Stocks (Revised 1997)
(W) Tips on Investing in Variable Annuities

(BU) Characteristics of Various Types of Securities

Suite 5200, Las Vegas, NV 89101, (702)486-2440, http://sos.state.nv.us/securities
Investment Products/general public
(BR) Promissory Notes: Promises, Problems

Suite 5200, Las Vegas, NV 89101, (702)486-2440, http://sos.state.nv.us/securities
Investment Products/general public

Page 27
(BR) Digging Deep into Mining (1996)
(BR) Promissory Notes: Promises, Problems (2002)

(BR) Viatical Settlements

(W) Commodity Investments

(W) Blind Pool Investment Offerings

(BR) Before You Buy a Callable CD, Take Notes (2001)

(BR) Investing in a Viatical Settlement

(BR) Penny Stocks


Page 28
(BR) Stocks (1998)
(BR) Viatical Settlement Contracts (2000)

Investment Products /general public/19 pages/free
(BR) Understanding Stocks and Bonds (1996)

(BR) Characteristics of Various Types of Securities Chart

(BR) Exempt Market Securities: The Complete Overview

(BR) Financial Products: Where to Turn for Liquidity, Risk, and Expected Return
(BU) Researching Old Securities

British Columbia Securities Commission, P. O. Box 10142, Pacific Centre, 701 West
Georgia Street, Vancouver, BC, V7Y 1L2 Canada, (604) 899-6500,
http://www.bcsc.bc.ca
(BU) Penny Stocks

Ontario Securities Commission, Securities Commission, 20 Queen Street West, Suite
1900, Box 55, Toronto, ON, M5H 3S8 Canada, (416) 593-8200,
http://www.osc.gov.on.ca

Page 29
(BR) Saving for your child’s education (RESPs)
Investment Products/general public/free – French, English, Tamil, Russian, Polish,
English
(W) An Investor’s Guide to Buying Securities on the Exempt Market


Page 30
CONSUMER
PROTECTION
Consumer Protection
(BU) When Opportunity Knocks Take Notes!
Consumer Protection/general public/1 page/free
(BU) Free Services for Alabamians

Consumer Protection/general public/free
(BR) Business Opportunity Investments

(BR) Margin Loans and Their Risks

(NL) Safe Investing Guide (2004 Edition)

(BR) Credit Scoring

Office of Financial Regulation, State of Florida, 200 East Gaines Street
(BR) Loan Brokers

(W) Iowa Insurance Division, Securities Bureau Investor Complaint Form

Insurance Division, Securities Bureau, 340 East Maple,
Des Moines, IA 50319-0066, (515) 281-4441
http://www.iid.state.ia.us/Division/Securities

Page 32
(W) Preventing and Resolving Disputes
Insurance Division, Securities Bureau, 340 East Maple, Des Moines, IA 50319-0066,
(515) 281-4441, http://www.iid.state.ia.us/Division/Securities
(BR) Vacation Timesharing

(BR) Kansas Investors Resource Guide


(BU) Protecting Your Privacy (How to safeguard your personal information)

Baltimore, MD 21202-2020, (410) 576-6360,
(B) Call for Help

(BR) Supporting Charities

(BR) A Citizen's Guide to Services


Page 33
(BU) Filing a Complaint
(PKT) State of Nevada Protecting Nevada Investors

Consumer Protection/general public/packet of all (BR)s and alerts/free
(BR) Focus on the Future

New Mexico Regulation & Licensing Dept, Securities Division, 725 St. Michael’s
Drive, Santa Fe, NM 87505-7605, (505) 827-7140, http://www.rld.state.nm.us/sec
(NL) What You Should Consider Before Choosing a Franchise

http://www.oag.state.ny.us/investors/investors.htm
Consumer Protection/general public/18 pages/free
(BU) Investor Bill of Rights *also available in Spanish

(B) The Texas Family Guide to Personal Money Management


(BR) Research Before Buying: A Guide to Buying a Franchise or Business Opportunity


Page 34
(BR) Buying a Business Opportunities
(BR) Please be Careful with your Cash

West Virginia Department of Financial Institutions, Division of Securities, Building 1,
Room W-100, Charleston, WV 25305-0230, (304) 558-2257,
http://www.wvauditor.com
(BU) Investor Charter of Rights

Alberta Securities Commission, Suite 400, 300 - 5th Avenue SW, Calgary, AB
Canada, T2P 3C4, (403) 297-6454, http://www.albertasecurities.com/aschome.htm
(BR) Deposit Insurance in Québec: what are your protections?

(BR) Compensation Fund: How to submit a claim

(BR) 10 Points to Remember, Investor Self-Protection

(BU) How to Get Information or Make a Complaint

(BR) Public Inquiry and Complaint Process


Page 35
(BR) A Step by Step Guide to Making a Complaint
Consumer Protection/general public/free – French and English
(BR) Borrowing to Invest: Understanding Leverage

(BR) Financial Disclosure: What you need to know

(BR) Avoiding Investment Problems


Page 36
DERIVATIVES
Derivatives
(BR) A Brief Guide To Financial Derivatives
Derivatives/general public/free

Floor, Phoenix, AZ 85007, (602) 542-4242, Derivatives--From Vanilla to Exotic,
http://www.ccsd.cc.state.az.us
(BR) A Brief Guide to Financial Derivatives (1995)

Derivatives/Advanced/16 pages/free

Page 38
FINANCIAL
PROFESSIONALS
Financial Professionals
(BR) Information for Municipal Securities Investors, Rules Protecting the Investor, Investor
Disputes with Dealers
Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80203, (303)
894-2320, http://www.dora.state.co.us/securities
Financial Professionals/general public/3 pages/free
(BR) Choosing the Right Financial Planner

Financial Professionals/general public/1 page/free
(BR) Resolving Problems with Securities Firms

(V) Financial Planning

Financial Professionals/general public
(BR) Business Brokers (1996)

Suite 200, Lincoln Tower, Springfield, IL 62701, (217) 782-8876,
Financial Professionals/general public/free
(BU) How to Check Out Your Stockbroker Or Brokerage Firm (2001)

(BR) Selecting a Broker or Investment Advisor

(W) How to Check Out Your Stockbroker or Brokerage Firm


Page 40
(W) Choosing Investment Advisers and Financial Planners
(W) How to Select and Work with a Stock Broker

(BR) How to Choose and Deal With a Stockbroker

(BU) How to Check Out Your Stockbroker or Brokerage Firm

(BR) How to Choose a Stockbroker

(BU) How to choose a Stockbroker

Baltimore, MD 21202-2020, (410) 576-6360
(BU) How to choose a Financial Planner

Baltimore, MD 21202-2020, (410) 576-6360
(V) What Every Investor Needs to Know: How to Prevent and Resolve Problems with
Investment Professionals
Baltimore, MD 21202-2020, (410) 576-6360,

Page 41
(PKT) The Financial Adviser Interview Checklist
Baltimore, MD 21202-2020, (410) 576-6360,
(BU) How to Check out your Stockbroker or Brokerage Firm

Secretary of the Commonwealth, Securities Division, One Ashburton Place,
Room 1701, Boston, MA 02108, (617) 727-3548,
(BU) Securities Consumer Alert – Adviser or Con Artist

(BR) Questions and Answers about Selecting a Financial Planner (1996)

Minnesota Department of Commerce, 133 East Seventh Street, St. Paul, MN 55101-
2333, (651) 296-4026, http://www.commerce.state.mn.us/mainrg.htm
(BR) A Consumer Guide to Financial Planning

Minnesota Department of Commerce, 133 East Seventh Street, St. Paul, MN 55101-
2333, (651) 296-4026, http://www.commerce.state.mn.us/mainrg.htm
(BR) A Guide to Selecting a Stockbroker or Investment Advisor

202 North Congress Street, Jackson, MS 39201, P. O. Box 136, Jackson, MS 39205-
(BR) How to Choose a Stockbroker (Revised 1997)

(BR) How to Check Out Your Stockbroker Or Brokerage Firm


Page 42
(BR) How to Check Out Your Stockbroker Or Brokerage Firm (2001)
Helena, MT 59604, P. O. Box 4009, Helena, MT 59604, (406) 444-2040,
(BR) A Good Market Tip: Get to Know Your Broker Before You Write That Check (1997)
Suite 5200, Las Vegas, NV 89101, (702) 486-2440, http://sos.state.nv.us/securities/
(PKT) When Your Broker Calls, Take Notes!

Financial Professionals/general public
(NL) What You Should Know About Financial Advisors

(BR) Investment Planning

(BR) “Shopping for Investment Advice: Questions you need to ask” (1997) (English and
French)
(BR) The Informed Investor: Who’s Who In The Financial Planning And Investment
Adviser Field (1999) Ohio Division of Securities, 77 South High Street, 22nd Floor,
Columbus, OH 43215, (614) 644-7381 http://www.securities.state.oh.us
(BR) How To Select and Work With A Securities Salesperson

(614) 644-7381 http://www.securities.state.oh.us

Page 43
(BU) Selecting an Investment Adviser: Remember ABC…
(614) 644-7381 http://www.securities.state.oh.us
(BU) How to Check Out Your Stockbroker Or Brokerage Firm (2001)

(BU) When Your Broker Calls *also available in Spanish

(BR) How to Check Out Your Securities Dealer, Agent or Brokerage Firm
(BR) Understanding Your Brokerage Account Statement

(BR) Choosing an Investment Professional

(BR) Choosing Your Advisers

(BU) Choosing Your Advisor

Alberta Securities Commission, Suite 400, 300 - 5th Avenue SW, Calgary, AB
Canada, T2P 3C4, (403) 297-6454, http://www.albertasecurities.com/aschome.html
(BR) Your Securities Broker or Financial Adviser: Choices for a Bright Future

Page 44
(BU) Know the difference between unrestricted practice dealers and discount brokers
(BU) Take time to get to know your adviser before investing

(BR) Chinese - Choosing Your Financial Advisor

Georgia Street, Vancouver, BC, V7Y 1L2 Canada, (604) 899-6500
(BR) Dealers and Advisers: With Whom are you Dealing for Your Investment Services
Ontario Securities Commission, 20 Queen Street West, Suite 1900, Box 55, Toronto,
ON, M5H 3S8 Canada, (416) 593-8200, http://www.osc.gov.on.ca

Page 45
FRAUDS AND SCAMS
Frauds and Scams
(BU) Affinity Fraud – Scams the Target the Faithful
Frauds and Scams/general public/free
(BU) The Ponzi Scheme

(BU) Red Flag Phrases for Investment Fraud

(BU) Ten Tips to Avoid Investment Fraud

(V) What Con Artists Don’t Want You to Know

(BU) Cold Calling Alert

Arkansas Securities Department, Heritage West Building, Room 300, 201 East
Markham, Little Rock, AR 72201-1692, (501) 324-9260, http://www.state.ar.us/arsec
(BR) How to Protect Your Savings Against Con Artist Hypnosis

Arkansas Securities Department, Heritage West Building, Room 300, 201 East
Markham, Little Rock, AR 72201-1692, (501) 324-9260, http://www.state.ar.us/arsec
Frauds and Scams /general public/7 pages/free
(BR) A Guide to Multi-Level Marketing Programs and a Warning About Pyramid Schemes
Frauds and Scams/general public/8 pages/free

Page 47
(BR) Investment Fraud –Before You Invest, Investigate:
Directory of Important Phone Numbers
(BR) Senior Protection Manual

Frauds and Scams/seniors/55 pages/free
(V) Investment Scams: What Con Artists Don’t Want You to Know
Frauds and Scams/Arizona Version/general public/16 minutes
(V) The Ponzi, Thieves Market Series

Frauds and Scams/general public/30 minutes/free
(V) The Pyramid, Thieves Market Series

(V) The Boiler Room, Thieves Market Series

(BR) How to Protect Your Savings Against Con-Artist Hypnosis

(BR) Investment Swindles: How They Work and How to Avoid Them

Frauds and Scams/ general public/free

Page 48
(BR) Recognizing and Avoiding: Con Artists
(BR) Recognizing and Avoiding: International Investment Schemes

(BR) Recognizing and Avoiding: Prime Bank Note Scams

(BR) Recognizing and Avoiding: Pyramid & Ponzi Schemes

(BR) Top Ten Investment Frauds (NASAA)

Floor, Carvel State Office Building, Wilmington, DE 19801, (302) 577-8424,
(BR) How to Avoid Investment Scams

(BR) Predatory Lending (2003)

(BR) Identity Theft (2004)

(BR) A Financial Guide for Young Consumers: Wheels, Deals & Spiels (2004)

Page 49
(V) Financial Fraud

Frauds and Scams/general public
(V) Online Investing, Internet Fraud & Variable Annuities

Frauds and Scams/general public
(BR) How To Protect Your Savings Against Con Artist Hypnosis

Fraud and Scams/general public/4 pages/free
(BR) Avoiding Business Opportunity Scams (1996)

(V) 18 Minute Video – Investment Fraud “Caution: Scam Ahead”

(BR) Risky Ventures

www.in.gov/sos/securities/brochures
(BR) Your Guide to Understanding & Avoiding Investment Fraud

(BR) Affinity Fraud


Page 50
(W) NASAA-CSA Investment Fraud Awareness Quiz

(W) Affinity Fraud

(W) High Tech Investment Scams Are on the Rise

(BR) Unsuitable Investments

(BU) Friend or Fraud? Recognizing Affinity Fraud

(BR) NASAA-CSA Investment Fraud Awareness Quiz

(BR) Affinity Fraud

(BU) Business Opportunity Fraud


Page 51
(V) Investment Scams: What Con Artists Don’t Want You To Know
(BU) How to Avoid Fraudulent Pyramid Schemes

(B) IRA “Approved” Investment Schemes

(BU) Letters from overseas that promise millions

(B) How Older Americans Can Avoid Investment Fraud and Abuse
Senior Resources/general public/free
(BU) The Case of Joshua Fry

(BU) The Case of Iris Rounesville


Page 52
(BU) The Case of Kestral Trust
(V) Investment Scams – “What Con Artists Don’t Want You to Know”

(V) Investment Scams – “What Con Artists Don’t Want You to Know”
Michigan Office of Financial and Insurance Services, Division of Securities,
611 West Ottawa, Second Floor, Lansing 48933, P. O. Box 30701, Lansing, MI
48909-8201, (517) 241-6350, http://www.michigan.gov/ofis
(BR) Avoiding Fraud In Your Securities Investments

(BR) 10 Tips to Avoid Investment Fraud (English and Spanish)

(BR) Pyramid Schemes: A Warning (1996)

(BR) The Informed Investor: How To Spot A Con Artist (1997)


Page 53
(BR) Avoiding Fraud In Your Securities Investments
(BU) “Information Superhighway” Scams (1998)

(BU) Affinity Fraud

Ohio Division of Securities, 77 South High Street, 22nd Floor,
Columbus, OH 43215, (614) 644-7381, http://www.securities.state.oh.us
(BU) Bogus "IRA Approved" Investment Schemes

(BU) Cyberspace Fraud And Abuse

(BU) Foreign Currency Trading Frauds

(BU) International Investment Fraud

(BU) Micro-Cap Fraud

(BR) How You Can Spot a Con Artist (1997)


Page 54
(BR) Protegiendo Sus Ahorros De Estafadores O Impostores (1993)
Protecting Your Savings From Con Artists
Frauds and Scams/Spanish & English/general public/free
(BR) If It Sounds Too Good to be True

(BR) Investment Scams

(BR) Ten Tips to Avoid Investment Fraud

(BR) Investment Fraud Checklist

(BU) What Every Business Should Know About Securities Fraud/What Every Prosecutor
and Police Investigator Should Know About Securities Fraud
Fraud and Scams/general public/free

Page 55
(BR) Ten Tips to Avoid Investment Fraud (Spanish and English)
(V) Investment Scams – What Con Artists Don’t Want You to Know
(BR) Don’t Get Soaked

(BR) How to Protect Your Savings Against Con Artist Hypnosis

Virginia State Corporation Commission, Division of Securities & Retail Franchising,
1300 East Main Street, 9th Floor, Richmond, VA 23219, P. O. Box 1197, Richmond
VA 23218, (804) 371-9051,
http://www.state.va.us/scc/division/srf/webpages/homepage.htm
(BR) Investment Scams, Frauds and Con Artists

(BR) Avoiding Business Opportunity Fraud

(BR) Swindled by a Friend

Frauds and Scams/general public/3 pages fold-out/free

Page 56
(BR) Investment Fraud (1998)
Fraud and Scams/general public/14 pages/free
(BR) Avoiding Fraud (1996)

(BR) Protecting Your Finances: How to avoid investment frauds and scams
Frauds and Scams/general public (seniors)/free
(BU) Investment Fraud

Alberta Securities Commission, Suite 400, 300 - 5th Avenue SW, Calgary, AB Canada,
T2P 3C4, (403) 297-6454, http://www.albertasecurities.com/aschome.html
(BR) Don’t take the bait! Advice for seniors on how to avoid fraud
(BR) Need Money? Have we got the solution for you

(BU) Investor Alert

(BR) How to Spot a Con Artist


Page 57
(V) Preying on Those Who Pray
Frauds and Scams/general public/free (Documentary look at Affinity Fraud (19 min)
(BR) If It Sounds Too Good To Be True - It Probably Is! (French / English)

New Brunswick Securities Commission, 606-133 Prince William Street, Saint John,
NB, 2B5 4Y9 Canada, (506) 658-3060, http://www.nbsc-cvmnb.ca
(BR) The Ponzi Scheme

West Block, Confederation Building, St. John’s, NF, A1B 4J6 (709) 729-4189,
(BR) Beware! Investment Scams

West Block, Confederation Building, St. John’s, NF, A1B 4J6 (709) 729-4189,
(BU) Investment Fraud Checklist

(BR) Protect Your Money: Schemes, Scams and Flimflams

(W) Investor Alerts

Frauds and Scams/general public/free – online only

Page 58
(BU) Protect Yourself from Investment Fraud
Office of the Attorney General, Prince Edward Island, Securities Division, PO Box
2000, Charlottetown, PE, Canada C1A 7N8, (902) 368-4550,
http://www.gov.pe.ca/caag/ccaid-info/index.php3

Page 59
MUTUAL
FUNDS
Mutual Funds
(BR) Understanding Mutual Funds
Mutual Funds/general public/free
(BR) Tips for Consumers on Mutual Funds Sold at Banks

Floor, Phoenix, AZ 85007, (602) 542-4242, http://www.ccsd.cc.state.az.us
Mutual Funds/general public/6 pages/free
(B) Understanding Mutual Funds

Mutual Funds/ general public/32 pages/free
(BR) A Guide to Bond Mutual Funds

(BR) A Guide to Closed-End Funds

(BR) Understanding Mutual Funds

http://www.in.gov/sos/securities/brochures
(BR) Invest Wisely: An Introduction to Mutual Funds


Page 61
(BR) A Brief Guide to Mutual Fund Investing
Maine Securities Division, 121 State House Station, Augusta, ME 04333-0121, (207)
624-8551, http://www.state.me.us/pfr/sec/sec_index.htm
(B) Mutual Funds Sold at Banks

(BR) What You Should Know About Mutual Funds

(BR) Front-End Mutual Fund Sales Charges Breakpoints

(BU) Tips for Consumers About Mutual Funds Sold by Banks

(BR) The Informed Investor: Mutual Funds (1997)

(BR) Mutual Funds (1998)

Mutual funds/general public/17 pages/free
(BR) Mutual Funds and Making Sense of Prospectuses


Page 62

Page 63
(BR) Understanding Mutual Funds (1997)
(BR) Mutual Funds

(BR) Mutual Funds: Everything You Need to Hear

(BU) What Costs Are Associated With Mutual Funds?

(BR) The Mutual Fund Sales Practices Rule

(BR) Chinese - Mutual Funds

(BU) Mutual Funds

(BR) Mutual Funds: Basic Information About Mutual Funds


Page 64
ONLINE
INVESTING
Online Investing
(BR) Recognizing and Avoiding: Internet Fraud
Online Investing/general public/1 page/free
(BR) Internet Fraud

Online Investing/ general public/free
(W) Ten Tips for Online Investors

Online Investing/general public/free
(W) Superhighway to Financial Ruin

(BU) Tips for Online Investors

(BR) Online Tips for Investors

Frankfort, KY 40601, (502) 573-3390 http://www.dfi.ky.gov
(BU) Online Investing Tips

Online Investing/general public/1 page fold-out/free

Page 66
(BU) Get the Facts About Online Investing
(BU) Securities Consumer Alert – Investments and the Internet

(BR) 10 Tips for Online Investors

(BR) Online Investing Tips

(BR) Online Investing Tips

Online investing/general public
(BU) 10 Tips for Online Investors (English and Spanish)

Online investing/general public
(BU) 10 Tips For Online Investors (2001)

Online Investing/general public/1 page/free
(BR) Get The Facts About Online Investing


Page 67
(BR) ABCs of Online Investing
(BR) On-Line Investing (2000)

53701-1768, (608) 261-9555 http://www.wdfi.org/fi/securities
Online Investing/general public/31 pages/free
(BR) Investing and the Internet

(BR) Investing and the Internet: How to Avoid Cyber-Fraud

(BU) Information found on the Internet: not always true or accurate.

(BR) Tips for Online Investing

Newfoundland/Labrador Securities, P.O. Box 8700, 2nd Floor, West Block,
Confederation Building, St. John’s, NF, A1B 4J6 (709) 729-4189,
(BU) Tips for Online Investing

Prince Edward Island, Securities Division, PO Box 2000, Charlottetown, PEI, Canada,
C1A 7N8, (902) 368-4550, http://www.gov.pe.ca.caag/ccaid-info
Online investing/General Public/free

Page 68
SECURITIES
REGULATION
Securities Regulation
(BR) Business Guide to Selling Securities In Alaska
Securities Regulation/general public/free
(B) The Massachusetts Securities Division

Maine Secretary of the Commonwealth, Securities Division, One Ashburton Place,
Room 1701, Boston, MA 02108, (617) 727-3548,
Securities Regulation/seniors/free
(BR) Department of Secretary of State: Securities Division

Salisbury Street, Suite 100, Raleigh, NC 27603-5909,
(BR) Oregon Securities Law – Guide for Law Enforcement Officers

(B) Texas State Securities Board and the Texas Investor

(BR) West Virginia Securities Commission

Securities Regulation/general public/ free
(BU) Insiders
Securities Regulation /general public/free

Page 70
(BR) Your Guide To Registration of Securities in British Columbia
(BU) Materials Published Under the Securities Act

(BU) Communication with the Securities Commission

(BR) Roles, Rights & Responsibilities: Schemes, Scams and Flimflams

(BR) Saskatchewan Financial Services Commission: Protecting Saskatchewan Investors

Securities Regulation /general public/free

Page 71
SENIOR RESOURCES
Senior Resources
(BU) SENIOR CITIZENS Take Control! Don’t lose your money to a scam
(BU) Seniors Against Investment Fraud (SAIF) Publications:

SAIF Volunteer Flyer
Seniors Against Investment Fraud
Common Investment Tips
Investor Self-Defense Tips
Flyer for Removal of Name from Mailing Lists
SAIF Program Tips
SAIF Volunteer Trainer Information
Be Safe – Call SAIF First!
Senior Financial Protection Plan Self-Commitment Form
Department of Corporations, 1515 K Street, Suite 200, Sacramento, CA 95814,
(916) 445-7205, http://www.corp.ca.gov
Senior Resources/seniors/1-2 pages each/free
(BU) How Older Americans Can Avoid Investment Fraud and Abuse
Senior Resources/general public/5 pages/free
(BR) Mature Investor’s Practical Advice

Senior Resources/general public/1 page/free
(BR) Planning for Retirement

Senior Resources/general public/1 page/free
(BR) Senior Citizens Securities Fraud (1994)


Page 73
(BR) Fraud Aimed at Older Americans
Senior Resources/ general public/free
(BR) How Older Americans can Avoid Investment Fraud and Abuse
(BR) Fraud Aimed at Americans Over 50

(B) How Older Americans can Avoid Investment Fraud and Abuse
(BR) How Older Investors Can Take Charge of Their Money

Senior Resources/seniors/free
(BR) Tips for Older Investors on How to Avoid Investment Fraud and Abuse
(BU) Tips for Seniors Considering an Annuity Purchase


Page 74
(BR) Protect Your Nest Egg / A Senior’s Guide to Avoiding Investment Fraud
Senior Resources/Seniors/free
*This information is packaged using the two different titles. One is marketed toward
seniors, the other marketed to the general public
(NL) Senior Fraud Newsletter

(BU) Bulletin for Older Investors

(BU) How Older Americans Can Avoid Investment Fraud And Abuse
Senior Resources/seniors/general public/free
(BR) How Senior Citizens Can Avoid Investment Fraud & Abuse
(BR) The Older Investor

(BR) Be Senior Smart

(BR) Protecting Your Finances: How to avoid investment frauds and scams

Page 75
(BU) Your Financial Security in Retirement
(BR) Retirement Planning Tidbits

(BR) Targeting Seniors - Mail Fraud/Telephone Scams

Securities Commission of Newfoundland and Labrador, P.O. Box 8700, 2nd Floor,
http://www.gov.nl.ca/scon Senior Resources/Seniors/Free

Page 76
SMALL BUSINESS
INFORMATION
Small Business Information
8 Reasons Why Small Business Resources Can Help You
A Guide to Making Venture Investments In Small Business
Arizona Corporation Commission, Securities Division, 1300 West Washington,
3rd Floor, Phoenix, AZ 85007, (602) 542-4242, http://www.ccsd.cc.state.az.us
(BR) A Consumers Guide To Making Venture Investments In Small Businesses

Small Business Information/general public/10 pages/free
(BR) Raising Small Business Capital Through Securities

(BR) Simplifying The Capital Formation Process For Small Business Ventures in Idaho
(BR) Guide to Going Public (1996)

(BR) Raising Capital in Kansas: Issues to Consider

Small Business Information/general public/free
(BU) The Maryland SCOR Program: Helping Small Businesses Raise Capital

Page 78
(BR) Complying with Missouri Securities Laws: A Guide for Small Businesses
Small Business Information/small business/free
(BR) Agricultural Cooperatives: A Guide to Complying with Missouri Securities Laws

Small Business Information/small business/free
(BR) Guide to Capital Formation

(BR) Raising Small Business Capital in Nebraska through Securities Sales

(BR) An Introduction To The Ohio Securities Laws For Start-Up And Small Businesses
(1999)
(BR) Raising Small-Business Capital (2000)

(B) Texas State Securities Board Guide for Small Business

(BR) A Consumer’s Guide To Small Business Investments


Page 79
(BR) So You Want To Go Public (1997)
(BR) Testing The Waters (1997)

(BR) Quick Guide (1997)

(BU) Your Guide to Going Public

(W) Exempt Distributions: How your business can issue shares without going public

Page 80
TELEMARKETING
Telemarketing
"Telemarketing Scams,"
Arizona Corporation Commission, Securities Division, 1300 West Washington,
3rd Floor, Phoenix, AZ 85007, (602) 542-4242, http://www.ccsd.cc.state.az.us
(BR) Recognizing and Avoiding: Boiler Room Scams

(BR) Telemarketing (1993)

(BU) How To Spot “Boiler Room” Scams

(BU) Phony Phone Investments

(BU) How to Identify Telemarketing Investment Fraud

(NL) Fraud in the Telemarketing of Investments


Page 82
(BR) Don't Get Burned by a "Boiler Room" Scam
Salisbury Street, Suite 100, Raleigh, NC 27603-5909,
(BU) How To Spot “Boiler Room” Scams

(BU) Cold Calling (1997)

Telemarketing/general public/7 pages/free
(BR) Alert: Boiler Room Scams

Tower, Suite 680, 500 James Robertson Parkway, Nashville, TN 37243-0575,
(615) 741-2947, http://www.state.tn.us/commerce/securities
(BR) Telephone Fraud-What You Need Before You Answer


Page 83
YOUTH
RESOURCES
Youth Resources
(B) Personal Finance for the Economics Classroom
Youth Resources/youth/100 pages
(BR) Money Math

Youth Resources/7th-9th grades/free
(BR) The Dangers of Credit Cards: 10 Facts Students Need to Know

Maine Secretary of the Commonwealth, Securities Division, One Ashburton Place,
Room 1701, Boston, MA 02108, (617) 727-3548,
Youth Resources/youth/free
(B) Billy and The Basketball: A Coloring Book About Saving Money
Youth Resources/children/12 pages/free
(BU) Financial Quiz for High School Students

Youth Resources/teens/4 pages/free
(BR) Financial Literacy for West Virginia – A Partnership with Educators

Youth Resources/general public/ free
(B) Suzie and the Soccer Ball coloring book

Youth Resources/general public/free

Page 85
(B) Personal Finance Topics & Materials for Economics, Business & Family and
Consumer Education Courses
Youth Resources/teachers for youth/80 pages
(W) Student Focus newsletter: http://www.msc.gov.mb.ca/studentfocus

Youth Resources/general public/free

Page 86

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NORTH AMERICAN SECURITIES

MEMBER INVESTOR EDUCATION

NASAA Investor Education Coordination Project Group

(BU) The Investor Bill of Rights

(BU) Challenge Your Financial Skills Crossword Puzzle

(BR) Investing In Securities

(BR) What Every Investor Needs to Know

(BR) Invest Wisely

(Type of publication - Code)

Code: A=audio, B=book, BR=brochure, BU=bulletin (one page), MG=magazine, NL=newsletter,

(PKT) Investor Packet: Multiple Publications

(Type of publication - Code)

Code: A=audio, B=book, BR=brochure, BU=bulletin (one page), MG=magazine, NL=newsletter,

(BR) How to Investigate Before You Invest

(BU) Investor Bill of Rights

(PKT) Personal Finance for the Economics Classroom (Teacher’s Guide)

(PKT) Basics of Saving and Investing (Teacher’s Guide)

(BR) Information For Investors

(B) California: Basics of Savings & Investing, A Teaching Guide

(V) No profit – No return

(BU) Investigate Before You Invest Checklist

(Type of publication - Code)

Code: A=audio, B=book, BR=brochure, BU=bulletin (one page), MG=magazine, NL=newsletter,

(BR) Invest Wisely

(BU) When Your Broker Calls, Take Notes

(V) What Every Investor Needs to Know

(BR) What Every Investor Needs to Know

(BR) How to be an Informed Investor

(BR) Cold Calling Alert

(BR) An Investor’s Basic Rights

(BR) Get the Facts on Saving and Investing (SEC)

(Type of publication - Code)

Code: A=audio, B=book, BR=brochure, BU=bulletin (one page), MG=magazine, NL=newsletter,

(BR) The Power to Choose (ASEC)

(BR) Why Save for Retirement ? (ASEC)

(BR) Getting Ready to Invest (NASD)

(BR) Questions You Should Ask About Your Investments

(BR) Cold Calling Alert

(BU) Investor Bill of Rights (1997)

(BU) When Your Broker Calls, Take Notes (1998)

(Type of publication - Code)

Code: A=audio, B=book, BR=brochure, BU=bulletin (one page), MG=magazine, NL=newsletter,

(BR) Shopping for a Home Mortgage

(V) If It Sounds Too Good To Be. . .: True Stories (Jan. 2000)

(BR) Investigate Before You Invest (1998)

(BR) “How to be an Informed Investor”

(V) Estate Planning

(V) Securities Market

(Type of publication - Code)

Code: A=audio, B=book, BR=brochure, BU=bulletin (one page), MG=magazine, NL=newsletter,

(BR) Do’s and Don’ts For Investors

(BR) Before You Invest

(BU) Investment Profile Quiz

(BR) 10 Do’s and Don’ts For Investors

(Type of publication - Code)

Code: A=audio, B=book, BR=brochure, BU=bulletin (one page), MG=magazine, NL=newsletter,

(BR) Advice for Kansas Investors

(BR) Understanding Your Brokerage Account Statements

(BR) Questions to Ask About Investments *English and Spanish

(BU) Check Before You Invest

(BR) 10 Do’s and Don’ts for Investors

(BR) Unsuitable Investments

(Type of publication - Code)