In concluding its report, NASAA recommended ten purported best compliance practices to address various concerns.

FORBES: Top Broker Dealer Compliance Issues Disclosed By State Securities Regulators

Let me count the ways, starting with state securities regulators as represented by the North American Securities Administrators Association ( NASAA).

FORBES: JOBS Act Will Open Door to Investment Scams

After finding the number of my state's securities department, at www.nasaa.org, I called and requested a check of names through the Central Registration Depository.

FORBES: Investigate, then invest