Recent Investor Newsletter Topics

 

February 2017

  • What's Trending
    • Love and Money: Talking About Finances With Your Significant Other 
    • Day Traders: Mind Your Margin 
    • How Groundhog Day Reminds Us About Repeating the Same Financial Mistakes 
  • Podcast
    • Podcast: Seven Investing Tips for 2017 
  • Featured Alert
    • Alternative Mutual Funds Are Not Typical Mutual Funds 

January 2017

  • Investor Alerts
    • Updated: Customer Advisory Centers—What Investors Need to Know
    • Inherited IRAs—What You Need to Know
  • What’s Trending
    • Key Concepts: Return and Rate of Return
    • Are Your Investments Ready for the New Year? FINRA Offers 7 Tips for 2017
    • Cost Basis Basics—Here's What You Need to Know

December 2016

  • Investor Alert
    • Public Non-Traded REITs: Perform a Careful Review Before Investing
  • What’s Trending
    • A New Investor Study: Ask Yourself These Questions
    • Set a Time Frame for Your Financial Goals
    • Sneaky Online Shopping Scams
    • Podcast: Don't Go Holiday Shopping With Your 401(k)
    • Saving for Retirement if You Work for a Small Business
    • Keep Up With Recordkeeping

November 2016

  • Investor Alert
    • Regulators Warn of Binary Options Risks
  • What's Trending
    • The Basics of Selecting Investments
    • How to Stay in the Black on Black Friday
    • Podcast: A Quick Guide to Money Market Deposit Accounts
    • The Scammercast Podcast: A Visit With Gerri Walsh
    • Resist the 'Cash Dash': Three Reasons to Avoid Frequent ATM Use

October 2016

  • Investor Alerts
    • Tick Size Pilot Program—What Investors Need to Know
    • SEC Investor Bulletin: Microcap Stock Basics—Risk
  • What's Trending
    • When Was the Last Time You Read Your Brokerage Account Statement?
    • Podcast: Is It Time to Rebalance Your Portfolio?
    • Legitimate Avenues for Recovering Investment Losses
    • How to Stay Safe Online
    • Steps to Plan for Diminished Financial Capacity and Illness

September 2016

  • Investor Alerts
    • It Can Be Hard to Recover from "Recovery" Scams
    • FBI Alert: Ransomware Victims Urged to Report Infections to Federal Law Enforcement
  • What's Trending
    • Beware of Fake Check Scams
    • Tapping Your 529 Plan for the First Time? Tips for Freshman Parents
    • Three Resources for Senior Investors
    • Podcast: 5 Keys to Smarter Investing

August 26, 2016

  • Investor Alerts
    • Understanding Order Types Can Save Time and Money
    • Boiler Room Alert: If You Get a Call Like This, Don't Bite—and Don't Buy
    • Investment Scams Follow in the Wake of Natural Disasters
  • What's Trending
    • A Millennial's Guide to Financial Capability
    • Planning for Retirement? These Numbers Really Matter
    • Podcast: Single Payment Car-Title Loans Can Take You for a Ride

August 1, 2016

  • What's Trending
    • Americans' Financial Capability Growing Stronger, But Not for All Groups
    • Can You Ace The Quiz?
    • Online Dating and Investment Fraud: Always Check Your Sources
    • Podcast: How to Manage the Financial Impact of an Unexpected Job Loss
    • Car Title Loans Can Take You For a Ride
  • FINRA News
    • FINRA Files Complaint Charging Broker With Fraudulently and Excessively Trading Accounts of Elderly, Blind Widow
    • FINRA Fines Prudential Annuities Distributors, Inc. $950,000 for Failing to Prevent Theft of $1.3 Million From Elderly Customer's Variable Annuity Account
    • John J. Brennan Elected Chairman of FINRA Board of Governors
    • FINRA Fines Deutsche Bank Securities Inc. $6 Million for Submitting Inaccurate and Late Blue Sheet Data

June 2016

  • Investor Alert
    • Market Risk: What You Don't Know Can Hurt You
  • What's Trending
    • Summer Study: Understanding 529 College Savings Plans
    • Revamped FINRA Retirement Calculator
    • Podcast: 5 Tips for Saving for Retirement—Automatically
    • 5 Tips for Avoiding Viral Disease Stock Scams
    • Phones Continue to Be Weapons of Fraud
  • FINRA News 
    • A Fines Deutsche Bank Securities Inc. $6 Million for Submitting Inaccurate and Late Blue Sheet Data
    • FINRA Fines Merrill Lynch $5 Million for Failing to Disclose Material Facts in Sales of Volatility-Linked Structured Notes to Retail Customers
    • Computerworld Names FINRA Among Best Places to Work in IT for 5th Consecutive Year
    • FINRA Announces CEO Transition
    • FINRA Sanctions Oppenheimer & Co. $2.9 Million for Unsuitable Sales of Non-Traditional ETFs and Related Supervisory Failures
    • FINRA Fines E*Trade Securities LLC $900,000 for Supervisory Violations Related to Best Execution and Protection of Customer Order Information

May 2016

  • Investor Alert
    • Crowdfunding and the JOBS Act: What Investors Should Know
  • What's Trending
    • Check Your Broker With BrokerCheck
    • Should You Exchange Your Variable Annuity?
    • Podcast: Disaster Planning: 5 Things to Put in Your Financial Toolkit
    • 5 Tips for Saving for Retirement—Automatically
    • Emotions Increase Susceptibility to Fraud in Older Adults
  • FINRA News 
    • FINRA Files Complaint Charging Lawson Financial Corporation, CEO With Fraudulent Municipal Bond Sales, and Charging CEO With Misuse of Customer's Charitable Trust Funds
    • FINRA Fines Raymond James $17 Million for Systemic Anti-Money Laundering Compliance Failures
    • FINRA Fines Stephens Inc. $900,000 for Inadequate Supervision of Research Department "Flash" Emails
    • FINRA Sanctions MetLife Securities, Inc. $25 Million for Negligent Misrepresentations and Omissions in Connection With Variable Annuity Replacements
    • FINRA Issues First Cross-Market Report Cards Covering Spoofing and Layering
    • FINRA Investor Education Foundation and Filene Research Institute Announce Employer Sponsored Small Dollar Loan Research Collaboration

April 2016

  • Investor Alert
    • Required Minimum Distributions—Common Questions About IRA Accounts
  • What's Trending
    • Managing the Financial Impact of an Unexpected Job Loss
    • How Confident Are You About Retiring Comfortably?
    • Podcast: Filing an Investor Complaint
    • Everyday Money Management
  • FINRA News 
    • FINRA Decision Bars James Van Doren for Unethical Conduct; Registered Representative Engaged in Money Laundering and Assisted Friend in Deceiving Creditors
    • New Data on OTC Equity Trading Now Available, FINRA Announces
    • FINRA Securities Helpline for Seniors Marks First Year, With $1.3 Million Returned to Investors
    • FINRA Reminds Firms about Obligations Regarding Pension Income Stream Products

March 2016

  • Investor Alerts
    • Power of Attorney and Your Investments—10 Tips 
    • Zika Crisis Might Give Rise to Investment Scams 
  • What's Trending
    • Filing an Investor Complaint 
    • Podcast: Tips for a Turbulent Market 
    • What You Need to Know About Financial Planners 
    • 5 Things to Know About Transferring a Brokerage Account 
    • Free Consumer Protection Resources 
  • FINRA News 
    • FINRA and Nasdaq Fine Wedbush Securities Inc. $675,000 For Supervisory Violations Relating to Chronic Fails to Deliver by a Client in Multiple Exchange-Traded Funds 
    • FINRA Reports on Effective Practices for Digital Investment Advice 
    • FINRA Evaluates Membership Application Rules 
    • FINRA Foundation Military Spouse Fellowship Application Now Open 
    • FINRA Approves Enhanced Price Disclosure to Retail Investors in Fixed-Income Securities