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

Suitability: What Investors Need to Know | Working With Your Investment Professional | Avoid Common Investor Problems | Prohibited Conduct | Disciplinary Information 

After You Invest

Understanding Brokerage Account Transfer Process | Your Rights Under SIPC Protection | Restitution for Investors

Avoid Investment Fraud

Investor Publications | Tools | Research

Recent Investor Alerts

• Inbox Alert—Don't Trade on Pump-And-Dump Stock Emails
• Alternative Funds Are Not Your Typical Mutual Funds
• Pension or Settlement Income Streams—What You Need to Know Before Buying or Selling Them
• Municipal Bonds—Important Considerations for Individual Investors
• Duration—What an Interest Rate Hike Could Do to Your Bond Portfolio

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