Investor Education Library

Recognizing that education and awareness are powerful tools in the fight against investment fraud, NASAA is pleased to offer a variety of investor education publications, a newsletter spotlighting new investor education initiatives and a directory of the investor education websites of the state and provincial securities regulators.

Investor Education Publications

  • ABCs for APS Professionals: How to Identify and Report Investment Fraud
    APS professionals can help spot and stop the financial exploitation of seniors by knowing what signs to look for and who to call for assistance.
  • Back to Basics
    Through a series of one-page briefs, Back to Basics is designed to provide readers with an overview of complex investing topics through easy-to-understand language in a simple format.
  • Clinician’s Pocket Guide
    A pocket-sized resource to help doctors spot the signs of senior investment fraud and report it to the appropriate authorities.
  • Cutting Through the Confusion
    This brochure explains the differences between brokers, investment advisers, and financial planners and identifies questions investors should ask themselves and potential providers before making a choice.
  • Guide to Understanding 529 Plans
    Information about College Savings Plans, also known as 529 Plans.  
  • I N V E S T i g a t e Before You Invest
    A quick reference checklist to help investors ask the right questions before making an investment. 
  • NASAA Investor Alerts and Tips
    Stay aware of current investment scams and learn how to evaluate the risks and rewards of popular investment products. 
  • NASAA Top Investor Traps
    The top  financial products and practices that threaten to trap unwary investors, compiled by the securities regulators in NASAA’s Enforcement Section.
  • Podcast Archive
    The Alert Investor is a series of podcasts produced by NASAA to provide investors with investor protection news and information.
  • Promissory Notes: Promises, Problems
  • Understand the differences between various types of promissory notes learn the warning signs that you may be getting a bad deal. 
  • Protect Your Money: Avoiding Frauds and Scams
    Designed for seniors, this booklet from the Canadian Securities Administrators outlines the various ways in which you could be approached with an investment fraud and how you can protect your money. 
  • Sandwich Generation: Caught in the Middle
    Information, tips and helpful checklists for members of the generation of adults balancing the competing financial needs of their children, their aging parent and themselves. 
  • Senior Patient Education Brochure
    Information to help senior patients and their families identify the red flags of elder investment fraud and get help.
  • Understanding Your Brokerage Account Statement
    The basics of brokerage account statements in easy-to-understand language. This brochure is also available in Spanish.
  • When Your Broker Calls, Take Notes
    Easy-to-use checklist is designed to help investors take down the specifics of any conversation they have with their broker — and to hang up on any unsolicited offers to buy securities. 


Additional Resources


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