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Investors  

Protect Yourself

  • Investor Alerts
  • Before You Invest
  • After You Invest
  • Avoid Investment Fraud

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 | Restitution for Investors

 

Avoid Investment Fraud

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

 

Recent Investor Alerts

  • Nutraceutical Stock Scams—Don’t Supplement Your Portfolio With These Companies New Graphic
  • Well-Traveled Fraud—Advance-Fee Scams Target Non-U.S. Investors Using Fake Regulator Websites and False Broker Identities
  • "Phishing" and Other Online Identity Theft Scams: Don't Take the Bait
  • It Pays to Understand Your Brokerage Account Statements and Trade Confirmations
  • Email Hack Attack? Be Sure to Notify Brokerage Firms and Other Financial Institutions

 

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 2 MB)
  • Investor Podcasts
  • Protect Yourself From Early Retirement Scams
  • Arbitration & Mediation
 
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©2012 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

©2012 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.