FINRA – Securities regulation has come a long way over the years. It has grown with the needs of investors, as well as the changing landscape of the markets and technology. FINRA has the flexibility to invest in resources that help protect investors.

Social Security Administration delivers a broad range of services online and through a nationwide network of over 1,400 offices that include regional offices, field offices, card centers, teleservice centers, processing centers, hearing offices, the Appeals Council, and our State and territorial partners, the Disability Determination Services. SSA also have a presence in U.S. embassies around the globe.

Securities and Exchange Commission – The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

Investing in Penny Stocks – Investing in penny stocks involve risks.  If you have a qualifying security that you want to invest in, you must first complete and submit the Unsolicited Transaction Acknowledgement Form prior to DIG executing the trade on your behalf.  According to the SEC website, “penny stocks are low-priced shares of small companies…which may trade infrequently – which means that it may be difficult to sell penny stock shares once you have them.  Because it may also be difficult to find quotations for penny stocks, they may be impossible to accurately price.  Investors in penny stock should be prepared for the possibility that they may lose their whole investment.”  

Charles Schwab is the custodian for all client assets at Davis Investment Group.  You can access your Schwab Alliance account login here.