Investor Newsletters
Current Investor Newsletter (10/15/09)
- Investor Alert: Beware of Auction Rate Securities Settlement "Phishing" Scam
- Podcast: Smart Saving for College—Part 1: 529 Plans
- Podcast: Smart Saving for College—Part 2: Other Tax-Advantaged Options
- News: FINRA Bars Former New York Broker for Defrauding Elderly Investor of More Than $500,000
- Questions? Search Our FAQ Database
- Investor Alert: Leveraged and Inverse ETFs: Specialized Products with Extra Risks for Buy-and-Hold Investors
- Investor Tools: FINRA Launches Improved and Audited Calculators
- Podcast: Avoiding Investment Scams
- Podcast: Organize Your Financial Records
- Beware of Fake Check Scams
- Investing in a Bankrupt Company: A High Risk Venture
- Podcast: Making Smart Financial Choices After a Job Loss—Part 1
- Investor Alert: Municipal Bonds—Staying on the Safe Side of the Street in Rough Times
- The MSRB: What It Is and How It Works
- Muni Information: The MSRB Launches the Electronic Municipal Market Access System (EMMA)
- Investor Information: Smart Bond Investing
- Bond Trading Information at the Market Data Center
- Investor Alerts: What You Should Know About Variable and Index-Equity Annuities
- Protecting Investors: FINRA Takes Enforcement Action
- Investor Tools: Use them to Plan Smart for Your Retirement
- The Ballpark E$timate
- The Retirement Estimator
- Investor Alert: Avoiding Investment Scams
- Scam Meter: Is that Investment Opportunity Too Good to be True?
- Risk Meter: Are You Vulnerable to Fraud?
- Podcast: Customer Account Protection: The Role of the Securities Investor Protection Corporation (SIPC)
- Investor Information: Auction Rate Securities (ARS) Settlements by FINRA and SEC
- Investor Information: Arbitration Information for Investors Holding ARS
- Podcast: Minimum Required Distributions—Suspended for 2009
- Investor Alert: "Phishing" and Other Online Identity Theft Scams: Don't Take the Bait—Stay alert to avoid the newest scams
- Investor Information: FINRA Launches Comprehensive Mutual Fund Expense Analyzer
- Help Us Help You Continue Being an Educated Investor—Complete a Short Survey
- Investor Alert: Treasury's Guarantee Program for Money Market Mutual Funds: What You Should Know
- Investor Information: Mutual Funds
- Investor Information: Before You Invest
- FINRA Investor Podcasts
- Investor Alert: If a Brokerage Firm Closes Its Doors
- Investor Information: Information for Customers of Lehman Brothers
- Investor Information: After You Invest
- Join Us For The SEC’s Third Annual Senior Summit—Protecting Your Assets As You Age
- Join Us For The SEC’s Third Annual Senior Summit—Protecting Your Assets As You Age
- Investor Information: Fighting Fraud 101: Smart Tips for Older Investors
- Investor Information: Avoid Investment Fraud—Take Your Name Off Solicitation Lists
- Tools You Can Use: Risk Meter & Scam Meter
- Investor Alert: Weathering Tough Financial Times—The Long-Term Costs of Quick Cash
- Investor Alert: 401(k) Debit Cards—Think Before You Swipe
- Investor Information: Smart 401(k) Investing
- Investor Information: Avoid Early Retirement Scams
- Tools You Can Use: Is Your Company Thinking About Automating Its 401(k)?
- Investor Alert: Beware of Online Job Classifieds Used to Steal Your Identity
- Investor Alert: Well-Traveled Fraud—Advance-Fee Scams Target Non-U.S. Investors by Impersonating U.S. Regulators and Using Fake Regulator Web Sites and False Broker Identities
- Investor Information: Keeping Your Online Account Safe
- Tools You Can Use: Check Out Your Investment Professional
- Investor Alert: Auction Rate Securities: What Happens When Auctions Fail
- Investor Alert: Catastrophe Bonds and Other Event-Linked Securities
- Investor Information: Margin Account Mechanics
- Investor Information: Mortgage-Backed Securities
- Tools You Can Use: Watchlist Keeps an Eye on Your Investments
- Investor Alert: Equity-Indexed Annuities—A Complex Choice
- Investor Information: FINRA Introduces Resources for Companies, Employees to Guard Against Early Retirement Seminar Scams
- Tools You Can Use: PAUSE—New SEC Resource Lists Fictitious Government Agencies and International Organizations
- Reverse Mortgages: Avoiding a Reversal of Fortune
- Investor Information: Bonds and Taxes
- Investor Information: Thinking About Borrowing from Your 401(k)?
- Tools You Can Use: Saving Enough for Retirement?
- Investor Information: Protect Your Identity: FINRA Launches New Resource to Protect your Personal Financial Information and Avoid Identity Theft
- Investor Information: Safeguarding Your Financial Information: An Identity Theft Prevention Checklist
- Investor Information: When should you give out your Social Security Number?
- Investor Alert: Keeping Your Account Secure: Tips for Protecting Your Financial Information
- Saving and Investing: President's Council on Financial Literacy
- Tools You Can Use: Retirement Made Simpler
- America Saves Week is February 24-March 2
- Investor Alert: Save Your Energy and Money—Don't Fall for Energy Stock Scams
- Investor Education: FTC Pledges Not to Drop Any Numbers From Do Not Call Registry
- Investor Education: Opt Out of Credit Card Offers, Too
- Investor Education: Which College Savings Strategy is Right For You?
- Tools You Can Use: Economic Indicator Calendar, Watchlist, Professional Designations Database
- Investor Alert: "Free Lunch" Investment Seminars—Avoiding the Heartburn of a Hard Sell
- Investor Protection: New Senior Fraud Risk Survey Identifies Behaviors Putting Older Investors at Risk
- Investor Protection: The FINRA Investor Education Foundation Launches Campaign to Protect Older Investors
- Tools You Can Use: Professional Designations Database; FINRA BrokerCheck; SEC EDGAR Database
- Investor Information: FINRA Launches 'Market Data' Online, Providing Free, Comprehensive Data to Retail Investors
- Investor Information: New National Survey Shows Widespread Anxiety Among American Investors
- Investor Education: Too Much Company Stock in Your 401(k)?
- Tools You Can Use: Retirement Calculator
- We Have a New Name!
- Investor Protection: Fighting Fraud 101: Smart Tips for Older Investors
- Smart Investing Series: Smart Saving for College
- Investor Alert: "China" Stocks-Look Beyond the Name Before You Invest
- Investor Alert: Investing with Borrowed Funds: No "Margin" for Error
- Investor Alert: Market Risk: What You Don't Know Can Hurt You
- Investor Resources: New, Improved NASD BrokerCheck Goes Live
- Investor Education: Understanding Risk
- Investor Education: Bond Investing Carries Risks, Too
- Investor Alert: Seniors Beware: What You Should Know About Life Settlements
- Investor Education: Turning 70½ in 2007?
- Investor Education: Phishing Continues to Hook Victims
- Arbitration and Mediation: NASD Unveils Free Arbitration Awards Online Database
- Investor Alert: "I hope this is your email" Scam Offers No Hope of Profits
- Protect Yourself Online: Keep Your Online Accounts Safe and Secure
- Protect Yourself Online: Take Charge of Your Identity
- News Dispatch: NASD Fines Chase Investment Services, MetLife Securities $500,000 Each for Supervisory Violations in 529 College Savings Plan Sales
- Investor Education: New Research Sheds Light on Senior Financial Fraud—Are You Vulnerable?
- Investor Alert: Look Before You Leave: Don't Be Misled By Early Retirement Investment Pitches That Promise Too Much
- Investor Education: College Savings Update, Fake Regulator Web Sites and Military Financial Education Outreach
- Smart Investing: Withdrawing from Your 401(k)
- Consumer Corner: Looking for an Internet Safety Net?
- Tools You Can Use: Minimum Required Distribution Calculator
- Investor Alert: Think Twice Before Cashing Out of Your 401(k)
- Smart Investing: Managing Your 401(k): Rebalancing
- Investor Education: Military Investor Forums Held in Hawaii, Japan and Persian Gulf
- Consumer Corner: Where to File a Complaint
- Investor Alert: Customer Advisory Centers: Not Your Typical Securities Firm Call Center
- News Dispatch: NASD Fines Merrill Lynch $5 Million for Call Center Supervisory Failures, Sales Contest Violations
- News Dispatch: New Campaign for Investors in the Military
- Consumer Corner: Avoid Tax Refund Scams
- Investor Alert: Bird Flu Stock Scam Could Be Hazardous To Your Financial Health
- Investor Information: New Investor Claims Funds
- Smart Investing: Managing Your 401(k)
- Investor Alert: Beware of "Hot" Stock Tips on Your Cell Phone
- Consumer Corner: Junk Fax Filtering
- Investor Protection: How to File an Investor Complaint
- Tools You Can Use: Loan Calculator
- Tools You Can Use: Two New Online Mutual Fund Tools
- Mutual Fund Resources
- Consumer Corner: Protect Yourself from Cold Callers
- Investor Alert: Beware of Stock Fraud in the Wake of Hurricane Katrina
- Hurricane Info: Hurricanes Rita and Katrina-Information for Investors
- Consumer Corner: Checking Up On Your Credit
- Smart Investing: Do Your Homework Before Investing in Municipal Bonds
- Investor Alert: Well-Traveled Fraud—Advance-Fee Scams Target Non-U.S. Investors Using Fake Regulator Web Sites and False Broker Identities
- News Dispatch: NASD Issues Alert on Financial Scams Targeting Non-U.S. Investors
- Consumer Corner: Opt-Out of Credit Card Offers
- Smart Investing: College Savings Tips
- Investor Alert: Protect Your Online Brokerage Account: Safety Should Come First When Logging In and Out
- News Dispatch: NASD Warns Investors to Protect Online Account Information-Brokerages Also Reminded of Obligation to Protect Customer Information from New Threats
- Smart Investing: 401(k) Portability
- Tools You Can Use: Accrued Interest Calculator
- New Bond Learning Center
- Top 10 Things to Consider Before You Invest in Bonds or Bond Funds
- Accrued Interest Rate Calculator
- Real-time corporate bond quotes
- NASD Expands Reach of Dispute Resolution Forum to All 50 States
- Dispute Resolution Forum Map
- Investor Alert: Putting Too Much Stock In Your Company—A 401(k) Problem
- Tools You Can Use: Smart 401(k) Investing
- Corporate Bond Activity at a Glance
- Real-Time Corporate Bond Transaction and Price Data is Now Available to Individual Investors at NASD BondInfo
- Real-Time Muni Bond Prices Also Now Available for Investors
- Investor Alert: Systematic Investment Plans—Educate Yourself Before You Enlist
- Smart Investing: Risk and Reward
- NASD Orders First Command to Pay $12 Million for Misleading Statements in Sales of Systematic
Investment Plans to Military Personnel - Understanding Investment Professional Designations
- Investor Alert: College Savings Plans—School Yourself Before You Invest
- Use NASD's New 529 College Savings Plan Expense Analyzer
- College Savings Learning Center—Know All Your Options
- College Savings Calculator
- Investor Alert: "Phishing" and Other Online Identity Theft Scams: Don't Take the Bait
- 401(k) Learning Center Updated!
- NASD Given New Authority To Discipline Former Brokers Who Fail To Pay Arbitration Awards
- Retirement Calculator
- Investor Alert: Brokerage Firm Private Securities Offerings: Buying Your Brokerage
- Investor Alert: "Stretch" IRAs—Too Much of Stretch for You?
- NASD Charges Investprivate, Inc. and Its Chairman with Fraudulently Raising Millions
- 401(k) and IRA Minimum Required Distribution Calculator
- Investor Alert: Betting the Ranch: Risking Your Home To Buy Securities
- NASD Charges Three Brokers with Suitability Violations for Recommending Investment Purchases Using Mortgage Proceeds
- Investor Alert: 100% Mortgage: The Low Down on No Money Down
- Mutual Fund Expense Analyzer Now Available for Securities Firms
- Investor Alert: Net Asset Value Transfers: Look Before You Leap Into Another Mutual Fund
- Other Investor Alerts on Mutual Funds
- NASD Requires AXA Advisors To Pay Full Restitution to Customers Who Did Not Receive Net Asset Value Transfer Opportunities.
- Mutual Fund and Exchange Trade Fund Expense Analyzer
- NASD Announces $10-Million Investor Education Fund
- NASD BrokerCheck
- Past Issues of Investor News Available
- NASD Releases Results of Investor Survey
- Investor Knowledge Quiz Available on NASD's Web Site
- Investor Alert: "Mutual Fund Breakpoints: Are You Owed a Refund?"
- Equity-Index Annuities—A Complex Choice
- Got Questions? askNASD
- NASD Charges Long Island Firm, its President, and Two Former Managers as a Result of Fraudulent "Boiler Room" Sales Practices
- Past Issues of Investor News Now Available
- Investor Alert: "Investing with Borrowed Funds: No “Margin” for Error"
- Understanding Investment Professional Designations
- NASD Fines Morgan Stanley $2 Million for Prohibited Mutual Fund Sales Contests
- Smart Investing: New 401(k) Learning Center Launched
- Kids Saving Calculator
- Joint NASD/Industry Breakpoint Task Force Issues Report
- NASD Charges Louisiana Broker With Unsuitable Sales of Variable Annuities and Mutual Funds of More Than $6 Million
- Investor Alert: "Class B Mutual Fund Shares: Do They Make the Grade?"
- Handling Spam
- NASD Investor Complaint Center
- Your Brokerage Account Records: Look for New Reports
- Investor Alert: "Variable Annuities: Beyond the Hard Sell"
- Global Settlement Information Now Available
- More on Annuities and Insurance
- Track Corporate Bond Sales Data with BondInfo
