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 | Mutual Funds | Private Offerings | Promissory Notes | Retirement Accounts | Trading Securities 

Before You Invest

BrokerCheck | Understanding Professional Designations | 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 Complaint Center | Investor Claims Funds & Restitution

Avoid Identity Theft & Fraud

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

Recent Investor Alerts

• Treasury's Guarantee Program for Money Market Mutual Funds: What You Should Know
• If a Brokerage Firm Closes Its Doors
• Job Dislocation: Managing the Financial Impact of Unexpected Job Loss
• Weathering Tough Financial Times—The Long-term Costs of Quick Cash
• 401(k) Debit Cards—Think Before You Swipe
• Well-Traveled Fraud—Advance-Fee Scams Target Non-U.S. Investors Using Fake Regulator Web Sites and False Broker Identities
• Beware of Online Job Classifieds Used to Steal Your Identity
• Catastrophe Bonds and Other Event-Linked Securities

Related

• Investor Alerts from Other Regulators and Associations
• Putting Investors First — Your Guide to FINRA and its Investor Services (PDF 434 KB)
• Investor Podcasts
• Protect Yourself From Early Retirement Scams
• Arbitration & Mediation