FINRA Investor News

June 2013

 

Investor Alerts

 

Inbox Alert—Don't Trade on Pump-and-Dump Stock Emails

 

Inbox Alert—Don't Trade on Pump-and-Dump Stock EmailsEmail stock spamming is back in high gear. The latest McAfee Threats Report confirms a steep rise in spam email linked to bogus "pump-and-dump" stock schemes designed to trick unsuspecting investors.

   

 

 

Alternative Funds Are Not Your Typical Mutual Funds

 

Alternative Funds Are Not Your Typical Mutual FundsCompared to traditional mutual funds, alternative funds typically hold more non-traditional investments and employ more complex trading strategies. Investors considering alternative funds should be aware of their unique characteristics and risks.

 


 

Investor Resources

 

Investor Podcast: 4 Ways to Guard Against Investment Fraud4 Ways to Guard Against Investment Fraud

 

FINRA's new podcast features four strategies to help you distinguish good investment offers from bad ones. Listen | 4 min.

 

Update: FINRA Market Data Center

 

On July 1, 2013, we will migrate our Market Data Center to a new platform. Please note that your Watch Lists will not migrate to the new system—so you will have to create new Watch Lists in the new system.

 

FINRA's Market Data Center is a comprehensive tool designed to assist investors with market and investment research, both through the market data information provided, as well as through FINRA Investor Education material and tools.

 

Understand Financial Professional Designations

 

Need help decoding the letters at the end of your financial professional's name? Use our updated tool to look up and compare credentials at www.finra.org/designations.

 

Recent Investor Alert

 

Pension or Settlement Income Streams: What You Need to Know Before Buying or Selling Them

 

View All Alerts

 


 

FINRA Investor Education Foundation

 

Are You as Financially Literate as You Think?Are You as Financially Literate as You Think?

 

The FINRA Foundation's 2012 National Financial Capability Study revealed that roughly three quarters of U.S. adult respondents give themselves high marks when asked to assess their financial knowledge and math skills. But only 14 percent could correctly answer all five of the survey's financial literacy questions.

 

How do you compare? Take our quiz to find out.

   

FINRA News

 

6/4/13 – FINRA Orders Wells Fargo and Banc of America to Reimburse Customers More Than $3 Million for Unsuitable Sales of Floating-Rate Bank Loan Funds

 

5/22/13 – Direct Edge Selects FINRA for Market Surveillance

 

5/21/13 – LPL to Pay $9 Million for Systemic Email Failures and for Making Misstatements to FINRA

 


 

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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