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


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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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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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