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.
- 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.
- Essential Guide to Safe Investing
Get the basics about how investing works and how to protect your money.
- 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 10 Investor Traps
The top 10 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.
- Salute to Smart Investing
A guide to saving, investing, retirement planning and fraud prevention prepared especially for the Armed Forces.
- 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 Statements
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.
NASAA IE Newsletter
Click the icon below to read archived investor education news from the NASAA Investor Education Section and the states and provinces.
- NASAA Member Investor Education Directory
- U.S. Federal Agencies
- International Regulators
- Industry Groups and Self-Regulatory Organizations
- Stock Exchanges
- Consumer Resources