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Investor Advisories

December 6, 2021

Informed Investor Advisory: Decentralized Finance (DeFi) Defined

Decentralized finance, or DeFi, is a relatively new blockchain-based set of financial services gaining popularity and acceptance. This NASAA Investor Advisory discusses DeFi, the technology behind it, and how you can protect yourself from falling victim to a scam.
September 16, 2021

Informed Investor Advisory: Protecting Your Online Accounts

As financial technology has evolved, it has given consumers the ability to shop, save, and invest online using their phones, tablets, and computers. These modern financial conveniences, however, come with risk.
June 1, 2021

Informed Investor Advisory: Expense Ratios

An informed investor will pay particular attention to a fund’s expense ratio, which, over time, can affect a fund’s earnings significantly.
April 8, 2021

Informed Investor Advisory: ESG Investing

As climate change and social concerns have grown in recent years, many investors are becoming more conscious of whether a company in which they are investing has considered environmental, social and governance (ESG) factors.
April 1, 2021

Informed Investor Advisory: Social Media, Online Trading and Investing

In our digitally connected world, some investors turn to online chatrooms and social media platforms for information about investing or specific investment opportunities. While ever-evolving technology makes investing more accessible to greater numbers of people, the informed investor knows that technological democratization also brings significant risk. 
February 9, 2021

Social Isolation and the Risk of Investment Fraud

NASAA, FINRA, and the staff of the SEC’s Office of Investor Education and Advocacy have joined to raise awareness that increased social isolation during the COVID-19 pandemic can have a devastating impact on senior investors.
October 6, 2020

The Coronavirus is Novel but Crisis-related Scams are Nothing New

NASAA and FINRA have joined to encourage investors to proceed cautiously with new investment opportunities considering the potential for fraudsters to take advantage of the buzz surrounding companies promoting products and services related to the coronavirus pandemic.
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.
December 18, 2019

Informed Investor Advisory: Bond Ratings

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