Protect Yourself
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
- Email Hack Attack? Be Sure to Notify Brokerage Firms and Other Financial Institutions
- Weathering Tough Economic Times—12 Tips for 2012
- Why Leave Money on the Table—Make the Most of Your Employer's 401(k) Match
- Companies in Bankruptcy Rarely Make Blockbuster Investments
- Public Non-Traded REITs—Perform a Careful Review Before Investing
- "Gold" Stocks—Some Investments Mine Your Pocketbook
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 211 KB)
- Investor Podcasts
- Protect Yourself From Early Retirement Scams
- Arbitration & Mediation
