FINRA Logo.

investors

FINRA Investor News

December 27, 2012
Investor Resource What Investors Need to Know about Suitability Ever wonder why your investment professional asks personal questions—like what's your age and financial situation? It’s because they’re obligated to learn about your “investment profile” so they can recommend an appropriate investment strategy or transaction for you. This obligation is called “suitability.” It’s a fundamental FINRA requirement that brokerage firms and the people who work there deal fairly with all of their customers. You should note that FINRA doesn’t require you to answer all of a firm’s or broker’s questions. But some firms do require you to provide certain information before they can give you any investment advice. Read more about FINRA’s suitability rule.		Investor Alert 5 Year-End Investment Tips The end of the year is a good time to take stock of your investments and see if you need to make any changes. Read this alert from FINRA and the SEC for five tips for year-end investment planning. Recent Alert When Trading Stops: What You Need to Know About Halts, Suspensions and Other Interruptions View All

FINRA Investor Education Foundation Scams, Schemes and Swindles: A Research Review The Financial Fraud Research Center, an initiative of the Stanford Center on Longevity and the FINRA Foundation, recently released Scams, Schemes, and Swindles. The report summarizes research on consumer financial fraud. It outlines what we know—and what we have yet to learn about this area of fraud. Highlights include: an estimated $40 to $50 billion of measurable, direct costs are lost to fraud annually; and complaints of fraud are increasing, although fraud is still under-reported. New Smart Investing Website Check out the Better Business Bureau and FINRA Foundation’s new BBB Smart Investing website. It’s designed to help consumers better protect and manage their money. Video: How to Save for College Are you or someone you know trying to save for college? Watch the FINRA Foundation’s short video to see what your options are.

FINRA News 11/28/12 – FINRA and JSDA Sign Cooperation Agreement 11/28/12 – FINRA Files Complaint Charging the President and Owner of Brooklyn Brokerage Firm TWS Financial for Operating Fraudulent Scheme Targeting Polish Community

Key Links Investor Complaint Center Market Data Center Smart Investing		Top Tools FINRA BrokerCheck^® Fund Analyzer Risk Meter Scam Meter Understanding Investment Professional Designations 529 College Savings Plan Expense Analyzer View All

Follow Us Subscribe to Other FINRA Emails FINRA Investor Alerts Subscribe to Podcasts Follow Us on Twitter See Us on YouTube		Feedback Tell us what you like or don't like about the FINRA Investor Newsletter.