With the help of investors, NASD has been successful in disciplining brokers and firms that have violated securities rules and regulations. We appreciate your willingness to take the time and effort to assist us in collecting the necessary evidence to enforce securities rules and regulations, which helps us to protect investors. NASD and other regulatory agencies are far more effective with your cooperation and assistance. Together, we can ensure that America's securities markets remain the most ethical and respected in the world.
If you believe you have been the subject of unfair or improper business conduct by a brokerage firm or broker, you may file an investor complaint with NASD.