Washington State Department of Financial Institutions

Investor Assistance

Do you have questions about the company or person(s) you're considering investing with?

Saving and Investing  Information:

What You Should Know Before Investing in Mortgage Paper Securities. Answers to frequently asked questions.

The mutual fund "Cost Calculator," available free on the SEC web site, takes the math and the mystery out of questions like: Am I better off buying a no-load fund with yearly expenses of 1.75%, or a fund with a front-end sales charge of 3.5% and yearly expenses of 0.90%?"

The U.S. Securities and Exchange Commission (SEC) and state securities regulators combat the fraudulent sale of promissory notes to investors.

The Federal Bureau of Investigation (FBI) and the National White Collar Crime Center (NW3C) have joined forces to combat internet fraud. Individuals who believe they have been victims of internet fraud should visit the Internet Crime Complaint Center.

Jump$tart Washington is a newly formed non-profit organization that seeks to promote the personal financial literacy of Washingtonians. The coalition, comprised of individuals, non-profit and governmental agencies and the corporate sector, are committed to addressing the need of financial literacy.

Director of Securities reminds insurance agents in Washington of state securities laws governing the offer and sale of viatical settlement contracts to investors. Under such contracts, terminally ill people can sell their life insurance policy for cash that can be used for current expenses. Get more information on Viaticals.

Review the 10 most common investment traps according to the Department of Financial Institutions Securities Division.

Looking for information about Old Stock Certificates? Find out more here.

More consumer information may be found on these sites:

NASAA Investor Education
IPT Investor Education
FINRA Investor Education
SEC Investor Education
FTC Consumer Education
Other sites for Investors