One of our main goals is to protect the investing public. We publish information to provide you — the investor — with the tools you need to avoid problems in today's complex world of investing.

Investor Alerts

529 Plans | Annuities and Insurance | Bonds | Frauds and Scams | Margin and Borrowing | Money Management | Mutual Funds & ETFs | Private Offerings | Promissory Notes | Retirement Accounts | Trading Securities 

Before You Invest

Avoid Problems With Your Broker | Avoid Common Investor Problems | Prohibited Conduct 

After You Invest

Understanding Brokerage Account Transfer Process | Your Rights Under SIPC Protection | Investor Claims Funds & Restitution

Avoid Investment Fraud

Fighting Fraud 101: Smart Tips for Older Investors | Protect Your Identity

Recent Investor Alerts

• Seeking Solid Financial Footing for the Next Decade: 10 Tips for 2010
• Save Your Greenbacks—Don’t Fall for Green Energy Scams
• Beware of Auction Rate Securities Settlement "Phishing" Scam
• Leveraged and Inverse ETFs: Specialized Products with Extra Risks for Buy-and-Hold Investors
• Beware of Fake Check Scams

Related

• Risk Meter
• Scam Meter
• FINRA BrokerCheck
• Understanding Professional Designations
• Investor Complaint Center
• Investor Alerts from Other Regulators and Associations
• Putting Investors First—Your Guide to FINRA and its Investor Services (PDF 285 KB)
• Investor Podcasts
• Protect Yourself From Early Retirement Scams
• Arbitration & Mediation