The Alert Investor

Episode 6: Your Rights as an Investor

You may have heard the phrase -- Knowledge is Power. Nowhere is that more true than in the dynamic world of investing.

But accessing that knowledge while navigating the twists and turns of  the stock market may seem daunting. Just what are your rights as investor?

More in this episode of the Alert Investor, brought to you by NASAA, the voice of state and provincial securities regulators.

You may not have the billions of a wall street tycoon but your nest egg is just as vital to your economic future . . . and the stakes are just as high.

NASAA President Joe Borg: "You are entrusting your financial future to your broker or financial adviser. You don’t have to sit back . . . ask questions!  It’s your money and they’re working for you!!! You deserve to get the information and service you need to make informed choices when making these life changing financial decisions."

NASAA has drafted its own Investor Bill of Rights . . . 10 things you should know when investing. Here’s just a sample:

When you invest you have the right to:

ASK and RECEIVE information from the firm about the person handling your account as well as the firm itself.

You also should RECEIVE COMPLETE INFORMATION about the risk, obligation and cost of any investment before investing.

You have the right to DISCUSS account problems with the branch manager and receive prompt attention and fair consideration of your concerns. 

You also have the right to RECEIVE complete information about any commissions, fees or penalties charged to your account.

Knowing your rights as investor helps put you on equal ground when it comes to dealing with your financial advisor…

For your own copy of the Investor Bill of Rights and more tips on investing wisely… log onto our website at  N  A  S  A  A  dot  O R G.

NASAA…. Because every investor deserves protection.