Are you an informed investor? Understanding Broker-Dealer Fees Savvy consumers know it is important to compare prices on similar products to get the best value for their money. Wouldn’t it be nice if the same were true when shopping for a broker-dealer firm to handle your investments? New research from the North American Securities Administrators Association (NASAA) […]
All: Investor Alerts & Tips
Are you an informed investor? CYBERSECURITY IS YOUR INVESTMENT PROFESSIONAL TAKING STEPS TO SAFEGUARD YOUR FINANCIAL INFORMATION? . . . If not, it’s time to have “The Talk!” The list of financial institutions targeted by organized cyber attacks continues to grow with ever-increasing frequency. Since investors are encouraged to take steps to ensure their own personal systems […]
Informed Investor Advisory: Third-Party Custodians of Self-Directed IRAs and Other Qualified Programs
Are you an informed investor? Third-Party Custodians of Self-Directed IRAs or Other Qualified Programs While self-directed IRAs can be a safe way to invest retirement funds, investors should understand that third-party custodians have limited duties to investors. Since the mid-1970s, investors have taken advantage of a provision in the tax code allowing them to contribute […]
HYIPs are Ponzi schemes sold by unlicensed individuals. In the past, con artists relied on word of mouth to lure investors into these investments. Now they rely on the Internet and social media buzz to quickly popularize their schemes before the fraud is discovered.
The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy and the North American Securities Administrators Association (NASAA) are jointly issuing this Investor Bulletin to help investors better understand the titles used by financial professionals.
Whether you are just starting a retirement fund or need additional help with growing and managing your money, you may benefit from selecting an investment services professional. Finding a person who is knowledgeable, affordable, and trustworthy may be a challenging process.
Learn about the risks associated with private placement offerings.
On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups (JOBS) Act, a series of legislative provisions intended to facilitate capital formation in the United States. Part of this legislation included the CROWDFUND Act, which makes significant changes in current federal and state securities laws. The CROWDFUND Act will allow entrepreneurs […]