Consumers
Information for Consumers
The Securities Exchange and Investment Protection Commission (SEIPC) is committed to protecting consumers and ensuring that they have access to the information they need to make informed financial decisions.
On this page, you will find information about how to check if a firm is regulated, how to make a complaint, and how to protect yourself from financial scams.
Frequently Asked Questions
How do I know if a financial firm is regulated?
You can check if a firm is regulated by searching our online register. All firms authorized to provide financial services must be registered with the SEIPC.
What should I do if I have a complaint about a financial firm?
First, you should try to resolve the complaint directly with the firm. If you are not satisfied with their response, you can file a complaint with the SEIPC.
How can I protect myself from financial scams?
Be wary of unsolicited offers, promises of high returns with little or no risk, pressure to make quick decisions, and requests for upfront payments. Always check if the firm is regulated by the SEIPC.
What types of financial products are regulated by the SEIPC?
The SEIPC regulates a wide range of financial products and services, including investments, insurance, banking, and pension products.