The Alert Investor Episode 1: How Your State Securities Regulator Protects You Welcome to The Alert Investor, brought to you by NASAA…the voice of state and provincial securities regulators. Each episode of The Alert Investor will offer useful insights and information to help you become a more alert and informed investor. Just about everyone is an investor these days . . . whether you buy or sell stocks or you’re investing for retirement through a 401(k) plan at work. [STOCK MARKET OPENING BELL] Before you hit the street to invest your hard earned money you should know that you have some one on your side . . . someone who’s not trying to sell you anything. We’re NASAA – the North American Securities Administrators Association, located in Washington, D.C. And for nearly 100 years our mission has stayed the same… protecting main street investors like you from getting scammed. Our members work in your state and provincial government and serve as your first line of defense against investment fraud. No matter where you live, from Alabama to Alberta, you have a regulator working for you to help keep your investments safe. NASAA President Joe Borg . . . “Your state securities regulator is your local cop on the financial beat. This is the agency you go to if you have a problem. But better yet, go to them first: Check out your broker, check out the investment, it’s your hard earned money can you afford to lose it?” It’s a big job. As an investor, you face many choices . . . not just about the financial products you can buy, but also who you buy them from. While most stock brokers and investment advisers are honest, investors still lose billions of dollars each year to investment fraud. That’s where we can help. Whether you want to check your broker’s background, or you’ve been a victim of investment fraud, or you simply need more information about investing wisely. We believe that financial education is the best weapon to fight investment fraud. So check out our website at www.nasaa.orgto connect with your state or provincial securities regulator. NASAA…because every investor deserves protection.