Investor Education
January 28, 2015
Informed Investor Advisory: Cybersecurity
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 are updated with the latest anti-virus and anti-malware software, and to follow proper account password safety protocol, they generally trust their investment professionals to do the same on their behalf. But do they?
December 1, 2014
Informed Investor Advisory: Third-Party Custodians of Self-Directed IRAs and 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.
November 20, 2014
Informed Investor Advisory: HYIPs
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.
April 29, 2014
Informed Investor Advisory: Virtual Currency
Virtual currency is an electronic medium of exchange that, unlike real money, is not controlled or backed by a central government or central bank. Virtual currency includes crypto-currency such as Bitcoin, Ripple or Litecoin.
September 11, 2013
Making Sense of Financial Professional Titles
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.
June 18, 2013
Informed Investor Advisory: Energy Investments
With energy demands and a desire for energy independence increasing globally, investments in traditional and alternative energy resources are being promoted more often and are becoming attractive to more investors.
April 30, 2013
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.
June 27, 2012
Small Business Advisory: Crowdfunding
The Jumpstart Our Business Startups (JOBS) Act, a series of legislative provisions designed to facilitate capital formation in the United States, was signed into law in 2012. Title III of the JOBS Act (also known as the CROWDFUND Act) allows entrepreneurs to raise capital by selling interests in their businesses over the internet through a […]
May 15, 2012
Informed Investor Advisory: Crowdfunding
The Internet is a popular 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 investment crowdfunding from the securities registration laws. These rules went into effect in May 2016 and eased restrictions on start-up companies that […]
February 21, 2012
