FINRA Investor News

July 2013

 

Investor Resources

What You Need to Know About Brokered CDs

 

Not all CDs have fixed interest rates, and not all are FDIC insured. A case in point: brokered CDs.

 

You may be offered a brokered CD by a stockbroker or other investment professional who serves as a deposit broker—someone who places your deposit with a bank or other insured institution. Brokered CDs may have a longer holding period than a CD you purchase directly from a bank, and they may be more complex and carry more risk. Although most brokered CDs are bank products, some may be securities—and won't be FDIC insured. Learn more.

 

 

Alternative Funds Are Not Your Typical Mutual Funds

 

Podcast: Alternative Funds Are Not Your Typical Mutual FundsCompared to a traditional mutual fund, an alternative fund typically holds more non-traditional investments and employs more complex trading strategies. If you’re considering an alternative fund, you should be aware of their unique characteristics and risks.

 

Listen | 5 min. 8 sec.

 

 

10 Tips for Working With Your Investment Professional

 

These tips can help ensure you have a productive relationship with your broker or adviser.

 

 

   

FINRA Tool Features Morningstar Data

 

Earlier this month FINRA re-launched its Market Data Center—a comprehensive tool that assists investors with market and investment research, with an emphasis on bond market information. Morningstar, Inc. designed and provides the financial data for the re-launched tool.

 

The Market Data Center provides:

  • a comprehensive source for unbiased financial information provided without advertising;
  • information on a range of financial products, including equities, options, mutual funds, ETFs and bonds;
  • the most comprehensive free bond market information on the Web, with advanced screening tools allowing investors more flexibility to conduct searches and find the information they need; and
  • improved graphing capabilities to give investors more tools to understand market data.

 

 

Our Story

 

FINRA:Our Story Photo

 

Want to learn more about FINRA? Watch employees talk about who we are and what we do.

 


 

FINRA Investor Education Foundation

Numeracy Journal Features FINRA Foundation Study

 

The academic journal Numeracy has published a special issue on financial literacy featuring papers that use data from the FINRA Foundation's National Financial Capability Study. The issue also includes papers that use similar studies from Australia, France, Romania and Switzerland, giving readers a broader perspective on the global state of financial literacy.

 

 


 

Recent Alert

 

Alternative Funds Are Not Your Typical Mutual Funds

 

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FINRA News

 

7/11/13 – FINRA Joins Exchanges in Fining Newedge USA, LLC $9.5 Million for Supervisory, Regulation SHO, and Books and Records Violations

 

6/26/13 – FINRA Fines StateTrust Investments $1 Million and Orders $353,000 in Restitution for Charging Unfair Prices in Bond Transactions

 

 


 

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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