Recent Announcements

April 25, 2018

Protecting Seniors From Financial Exploitation

The protection of senior investors has always been a top priority for the Financial Industry Regulatory Authority (FINRA). As part of this ongoing effort, FINRA adopted rules earlier this year that allow brokers to take steps to protect seniors and other specified adults.


April 20, 2018

Senior Investors: This Helpline Is For You

April 20th marks the three-year anniversary of the Senior Helpline, which FINRA launched to provide senior investors a source of trustworthy information and assistance. The Helpline's dedicated staff has taken over 13,000 calls, including over 1,000 so far in 2018.


April 10, 2018

Retirement Isn't Free—But Your 401(k) Match Is

Are you making the most of your company's 401(k) match? Each year, Americans leave billions of dollars in 401(k) company matches on the table. Here's how to avoid becoming one of the estimated one-of-four employees who misses out on free money.


April 3, 2018

Investment Risk, Explained

The saying goes that the only things certain in life are death and taxes, but there is a third certainty: investment risk. Here's a look at nine common types of investment risk.


March 28, 2018

Know Before You Share: Be Mindful of Data Aggregation Risks

Before you share your account information and other sensitive financial details with data aggregators, it pays to know how these services operate, and how to protect yourself from potential privacy and security risks.


March 27, 2018

Don't Get Fooled by Fraud This April Fool's Day

As some of us delight in tricking our friends on April Fool's Day, scammers are out working to trick people, too—but their mischief results in far greater consequences than a nose full of shaving cream. Here are 5 tips to keep you from getting fooled by fraud.


March 22, 2018

Tax Time Topics: Cost Basis, What You Need to Know

Selling an investment typically has tax consequences. To figure out whether you need to report a gain—or can claim a loss—after you sell, you need to know the cost basis for that investment.


March 20, 2018

Watch Out for These 4 Behaviors by Your Financial Professional

Financial regulators work hard every day to protect investors from broker misconduct. But at the end of the day, a diligent and vigilant investor is her own best first line of defense. Here are four behaviors that should have you asking questions.


March 15, 2018

This Tax Season Become a Smart Investor@Your Library

Across the country, libraries are working with financial educators to bring innovative programs and resources to visitors of all ages to help them hone their financial skills.


March 9, 2018

Lost Property—Don't Be Escheated Out of Your Savings or Investments

The purpose of unclaimed property laws is to protect consumers by ensuring money they are owed is returned to them. But those same laws can also cause potential problems. Follow these steps to help prevent your assets from ending up in your state's unclaimed property fund.


March 6, 2018

6 Smart Ways to Use Your Tax Refund

Expecting a tax refund? Here are six smart ways you can use that cash to jumpstart your finances.


March 1, 2018

Make the Most of Military Saves Week

From February 26 to March 3, military installations and other organizations will promote good savings behavior, reaching millions of people during Military Saves Week. Don’t miss out. Here are 3 ways to make the most of Military Saves Week.