Recent Announcements

October 12, 2017

Avoid Bad Financial Luck This Friday the 13th With These 4 Tips

This Friday the 13th, you might be taking some extra precautions to ward off bad luck, perhaps carrying around your rabbit’s foot or other good luck charm. But how about taking some extra precautions when it comes to your financial situation?


October 10, 2017

3 Things to Know About Financial Designations

You made a decision to work with a financial professional and have started to interview prospective candidates. You notice some candidates have a string of letters after their name. Chances are that alphabet soup refers to one or more professional designations. Here are three things it pays to know about financial designations.


October 4, 2017

Saving For College: UGMA and UTMA Custodial Accounts

When it comes to saving for college, you have a lot of options, from 529 plans to Coverdell Education Savings Accounts and pre-paid tuition plans. Here’s a look at how a Uniform Gift to Minors Act (UGMA) or a Uniform Transfer to Minors Act (UTMA) account might fit into your savings strategy.


October 2, 2017

Make the Most of World Investor Week with These Tips

U.S. securities regulators like FINRA want you to keep these nine tips in mind this World Investor Week—and every week—when you invest.


September 21, 2017

5 Do’s and Don'ts That Can Help You Achieve Greater Financial Security

Drawing on the findings of the FINRA Investor Education Foundation's National Financial Capability Study of more than 25,000 American adults, the FINRA Foundation has developed five tips to help consumers both manage their day-to-day financial challenges and build a brighter financial future.


September 20, 2017

Be Wary of Stock Fraud Following Natural Disasters

It may not be possible to predict when the next natural disaster will take place. What you can count on is that when it happens, scammers will try to take advantage of the situation. In this podcast, FINRA provides tips to help you spot and avoid investment scams.


September 19, 2017

Capital Gains Explained

You bought a stock. That stock then surged 20 percent in value. Hooray! You now have 20 percent more cash in your pocket, right? Not so fast. Here’s a look at what the capital gains tax is and how it works.


September 13, 2017

Beware of Stock Fraud in the Wake of Hurricanes Harvey and Irma

After a major hurricane like Harvey or Irma, one thing you can count on is that scammers will try to take advantage of the situation. This article explains how to spot and protect yourself from potential investment scams in the wake of Harvey and Irma.


September 12, 2017

5 Things to Do In Your 50s and 60s to Boost Retirement Savings

When you're young, it's easy to fall into the trap of thinking there's no rush to save for retirement. But before you know it, you may find yourself in your 50s or 60s, and nowhere near your retirement savings goal. These tips can help you catch up.


September 7, 2017

T+2 Is Here

A new era in securities settlement has arrived. T+2—the new, and shorter, standard settlement cycle for securities transactions in the U.S.—is now a reality.