FINRA Investor Podcasts
FINRA’s Investor Podcasts will discuss the timely financial issues and information you’ll need to save smarter and weather today's turbulent stock markets. Investor Podcasts will also help you protect your portfolio by reporting trends in investment fraud and other traps investors at all wealth and experience levels should avoid.
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June 18, 2009 Psychology of a Scam
FINRA Investor Education staff explain the psychological tactics fraudsters use and ways to guard against them.
March 3, 2009 Customer Account Protection: The Role of the Securities Investor Protection Corporation (SIPC)
SIPC protects investors by providing insurance for brokerage accounts if a firm fails or goes bankrupt, or when unauthorized trading is suspected. Learn how SIPC insurance works and what happens when SIPC takes over to liquidate a brokerage firm.
January 14, 2009 Required Minimum Distributions - Suspended for 2009
Congress took action in December 2008 to suspend the requirement to withdraw a minimum amount from qualified retirement accounts such as 401(k)s and 403(b)s during 2009. If you are 70 1/2, or will be in 2009, it's important to understand the ramifications of the suspension and how it might affect your retirement income.
December 8, 2008 What Investors Can Expect from FINRA's Dispute Resolution Process
This podcast, the audio version of a FINRA investor education webcast, explains in plain English what to expect from FINRA's arbitration and mediation processes, and includes an explanation of the differences between them and references to available resources for resolving disputes. This webcast was created to take the mystery out of FINRA's regulatory process.
November 20, 2008 "Free Lunch" Investment Seminars—Avoiding the Heartburn of a Hard Sell
Investors frequently get invited to free seminars that promise to educate them about investing strategies or managing money in retirement—often with an expensive meal provided at no cost. But just because someone buys you breakfast, lunch or dinner doesn't mean you have to buy what they are saying—or selling.
October 21, 2008 Bearing Up in a Bear Market: You Still Need to Open Your Account Statements
Especially in a down market, investors may be tempted to try and avoid the trauma of seeing the reduced value of their holdings by not opening their statements for their brokerage, mutual fund, or 401(k) or other retirement plan accounts. It has even been suggested that avoiding looking at your statements may be a good way to respond to turbulent financial times. This advice may be comforting but ignoring your statements can blind you to problems in your accounts. No one can protect your accounts like you can, and so you need to open your statements and see what is going on in your account.
September 9, 2008
The Internet and, more recently, wireless technology have made it easy for investors to check brokerage account information and initiate investment transactions on the go. Investors should take precautions to help ensure the security of their brokerage accounts. Not doing so puts your account information and investments at risk.
August 14, 2008 Reverse Mortgages: Avoiding a Reversal of Fortune Listen Now/Download | 9 min. 35 sec.
If you are in your sixties, and own your home, chances are you have heard about reverse mortgages—or will soon. Some financial institutions are aggressively marketing reverse mortgages as an easy, cost-free way for retirees to finance lifestyles that can jeopardize their financial futures.
July 7, 2008 Putting too Much Stock in Your Company – A 401(k) Problem Listen Now/Download | 6 min. 57 sec.
Now is a good time to ask yourself if you hold too much of your retirement nest egg in your employer's stock.
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Please note: The information provided in this podcast is for informational and educational purposes only, and when used alone, does not constitute investment advice. We strongly recommend that you seek the advice of a financial services professional before making any type of investment. We also encourage you to review your investment strategy periodically as your financial circumstances change. FINRA and its affiliates are not responsible for the consequences of any decisions or actions taken in reliance upon or as a result of the information provided, or for any human or mechanical errors or omissions. This podcast is provided as-is. Parties may not reproduce these podcasts in any form without the express written consent of FINRA.
