All: Investor Alerts & Tips

Informed Investor Advisory: Financial Service Providers

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.

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Informed Investor Advisory: Private Placement Offerings

Learn about the risks associated with private placement offerings.

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Small Business Advisory: Crowdfunding

The Jumpstart Our Business Startups (JOBS) Act, a series of legislative provisions intended to facilitate capital formation in the United States, was signed into law in 2012. This legislation included the CROWDFUND Act, which made significant changes to current federal and state securities laws. The CROWDFUND Act allows entrepreneurs to raise capital by offering to […]

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Informed Investor Advisory: Crowdfunding

The Internet has become an inexpensive and easy way for individuals and businesses to raise money. In 2012, Congress passed the JOBS Act, which directed the Securities and Exchange Commission (SEC) to formulate rules to exempt equity crowdfunding from the securities registration laws. These rules went into effect in May, 2016 and removed restrictions on […]

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NASAA Cautions Investors Not to Stumble When Interest Rates Fall Flat

February 1, 2012 – Following the Federal Reserve’s announcement that interest rates are expected to remain low until at least late 2014, NASAA today cautioned investors to beware of risky or outright fraudulent investments promising higher yield or returns.

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Self-Directed IRAs and the Risk of Fraud

The SEC and NASAA warn investors of the potential risks associated with investing through self-directed Individual Retirement Accounts (self-directed IRAs).

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Informed Investor Advisory: Social Networking

Social networking in the Internet age allows people to connect to one another
more quickly and easily than ever before. Investment promoters increasingly are
logging on to find investors … and their money.

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Top Investor Threats

The top 10 financial products and practices that threaten to trap unwary investors, compiled by the securities regulators in NASAA’s Enforcement Section.

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How to Check Out Your Broker or Investment Adviser

State securities regulators should be the first call for an investor before you turn over any money to a broker or investment adviser.

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How to Avoid Becoming a Victim

Avoiding being hurt by a con artist is as easy as doing your homework — before you invest.

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