Investor Education
June 3, 2020
COVID-19 Related Early Withdrawals from Retirement Accounts
The North American Securities Administrators Association (NASAA), FINRA and the staff of the SEC’s Office of Investor Education and Advocacy have joined together to provide this warning to investors about promoters targeting retirement accounts, as well as to provide a few key considerations for investors thinking of using 401(k) withdrawals or loans to purchase securities.
May 18, 2020
Informed Investor Advisory: Private Placement Offerings
Learn about the risks associated with private placement offerings.
November 12, 2019
Informed Investor Advisory: Affinity Fraud
Learn the warning signs of a type of investment fraud known as “affinity fraud” and how to help avoid becoming a victim.
August 19, 2019
Informed Investor Advisory: Contracts For Difference
A contract for difference (CFD) is offered as an alternative to traditional financial instruments used to speculate on financial markets. These types of investments generally are available only to very high net worth individuals or institutional investors. CFDs may be marketed to retail investors by scammers looking to make a quick profit.
July 22, 2019
Informed Investor Advisory: Opportunity Zone Investments
Opportunity zones encourage longer-term investments in low-income U.S. communities by providing certain tax benefits to investors. Investors may be attracted to opportunity zone investments for the potential tax benefits and promise of return on investment. Investors should weigh various factors before deciding to invest. Just because an investment is available in an opportunity zone does not automatically make it right for you.
April 23, 2019
Informed Investor Advisory: Cross-Selling
Cross-selling by banks and investment firms is a growing concern for securities regulators. At its best, this is a way for banks or investment firms to inform clients about the range of financial products and services available. At its worst, this common sales technique can take advantage of loyal clients.
April 9, 2019
Informed Investor Advisory: Robo-Advisers
Easy-to-use smartphone apps and online portals make setting up an account with a robo-adviser convenient and quick, which is contributing to their increasing popularity. For those considering a robo-adviser, it is best to take it slow and ensure this type of service meets your short- and long-term investing needs.
Washington, DC 20002
