How to Ask and Check
Before You Invest
Before making any investment, make certain the person selling it to you is registered with a securities regulator or has a valid exemption. Many investors, however, neglect this important step because either they do not know where to get background information or they think that they already know the salesperson and don't think a check is necessary. As a result, some investors are surprised to find out that the person, investment opportunity, or company is not authorized to sell investments.
Securities regulators want you to make informed decisions prior to investing your hard-earned money. While the majority of the investment professionals are honest and reputable, there are those individuals and firms, like many professions, who do not have your best interests in mind. Thus, one telephone call to the Investigator on Duty at the Securities Division, 602-542-0662, or an email inquiry may save you from sending your money to an unscrupulous professional and company that has a disciplinary history with securities regulators.
Read more about how to ask and check before you invest by learning the important questions you need to ask and where to verify the answers before handing over your investment dollars. For more general information about wise investing and investment fraud prevention, visit the Investor Resource Library, General A to Z.
Common Investment Pitfalls to Avoid
Know Your Risk Tolerance and Suitability
How to Ask and Check Before You Invest
Guidelines for Online Investors
Raising Capital in Arizona
Tips on Reading a Prospectus