FINRA Investor News

June 2013


Investor Alerts


Inbox Alert—Don't Trade on Pump-and-Dump Stock Emails


Inbox Alert—Don't Trade on Pump-and-Dump Stock EmailsEmail stock spamming is back in high gear. The latest McAfee Threats Report confirms a steep rise in spam email linked to bogus "pump-and-dump" stock schemes designed to trick unsuspecting investors.




Alternative Funds Are Not Your Typical Mutual Funds


Alternative Funds Are Not Your Typical Mutual FundsCompared to traditional mutual funds, alternative funds typically hold more non-traditional investments and employ more complex trading strategies. Investors considering alternative funds should be aware of their unique characteristics and risks.



Investor Resources


Investor Podcast: 4 Ways to Guard Against Investment Fraud4 Ways to Guard Against Investment Fraud


FINRA's new podcast features four strategies to help you distinguish good investment offers from bad ones. Listen | 4 min.


Update: FINRA Market Data Center


On July 1, 2013, we will migrate our Market Data Center to a new platform. Please note that your Watch Lists will not migrate to the new system—so you will have to create new Watch Lists in the new system.


FINRA's Market Data Center is a comprehensive tool designed to assist investors with market and investment research, both through the market data information provided, as well as through FINRA Investor Education material and tools.


Understand Financial Professional Designations


Need help decoding the letters at the end of your financial professional's name? Use our updated tool to look up and compare credentials at


Recent Investor Alert


Pension or Settlement Income Streams: What You Need to Know Before Buying or Selling Them


View All Alerts



FINRA Investor Education Foundation


Are You as Financially Literate as You Think?Are You as Financially Literate as You Think?


The FINRA Foundation's 2012 National Financial Capability Study revealed that roughly three quarters of U.S. adult respondents give themselves high marks when asked to assess their financial knowledge and math skills. But only 14 percent could correctly answer all five of the survey's financial literacy questions.


How do you compare? Take our quiz to find out.




6/4/13 – FINRA Orders Wells Fargo and Banc of America to Reimburse Customers More Than $3 Million for Unsuitable Sales of Floating-Rate Bank Loan Funds


5/22/13 – Direct Edge Selects FINRA for Market Surveillance


5/21/13 – LPL to Pay $9 Million for Systemic Email Failures and for Making Misstatements to FINRA



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


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