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
• 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