Investor Education
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.
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.
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
