for your protection
MEMBER FINRA
Ausdal Financial Partners is a member of the Financial Industry Regulatory Authority (FINRA), the largest non-governmental regulator for all securities firms doing business in the United States.
Created in2007 through the consolidation of NASD and the regulatory arm of the New York Stock Exchange, FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms.
With approximately 3,000 employees operating from Washington DC, New York, NY and 15 District Offices around the country, FINRA is a trusted advocate for investors dedicated to keeping the markets fair and ensuring investor choice
MEMBER SIPC
SIPC is the first line of defense in the event a brokerage firm fails owing customers cash and securities that are missing from customers accounts. When a brokerage firm is closed due to bankruptcy or other financial difficulties and customer assets are missing, SIPC steps in as quickly as possible and within certain limits, works to return customers’ cash stock and other securities. Without SIPC,, investors at financially troubled brokerage firms might lose their securities or money forever...or wait for years while their assets are tied up in court.
Not everyone, and not every loss is protected by SIPC. The Securities Investor Protection Corporation does not offer to customers the same blanket protection that the FDIC provides to bank depositors. Where banking instruments are inherently “risk averse”, securities rewards are only possible with risk. Consequently, SIPC does not bail out investors when the value of their investments decline. Instead, SIPC replaces missing stocks and other securities when it is possible to do so...even when the investments have increased in value.