FINRA Investor News

January 2014


Investor Alert


The IRA Rollover: 10 Tips to Making a Sound Decision


Investor Alert: The IRA Rollover: 10 Tips to Making a Sound DecisionIf you're considering rolling over money from an employer plan into an IRA—or if you have been in contact with a financial professional to do so—follow these tips to decide whether an IRA rollover is right for you.


Recent Investor Alert: Marijuana Stock Scams


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Investor Podcast


Private Placements: Consider the Risks before Investing


Podcast: Private Placements: Consider the Risks before Investing Every year, companies raise billions of dollars in non-public securities offerings, known as private placements, which are exempt from registration under federal securities laws. Private placements are an important source of capital for American business, especially small or start-up companies. But investing in private placements is risky and can tie up your money for a long time. It's important to understand whether they're the right investment for you.


Listen  | 6 min. 14 sec.



FINRA Investor Education Foundation


FINRA Foundation and ALA Announce $1.19 Million in Grants to Public Libraries to Support Financial Literacy


The FINRA Investor Education Foundation and the American Library Association (ALA) have announced $1.19 million in grants to 17 recipients as part of the Smart investing@your library® initiative.


Smart investing@your library® funds library efforts to give patrons effective, unbiased educational resources on personal finance and investing. Now in its seventh year, the program has awarded a total of $8.2 million to public libraries, community college libraries and library networks nationwide.


Read more.



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1/16/14 – FINRA Bars J.P. Morgan Vice President and Broker Friend in Insider Trading Scheme


1/9/14 – FINRA Orders Stifel, Nicolaus and Century Securities to Pay Fines and Restitution Totaling More Than $1 Million for Unsuitable Sales of Leveraged and Inverse ETFs, and Related Supervisory Deficiencies


1/2/14 – FINRA Releases 2014 Regulatory and Exam Priorities


12/26/13 – FINRA Fines Barclays $3.75 Million for Systemic Record and Email Retention Failures


12/23/13 – FINRA Solicits Comment on Comprehensive Automated Risk Data System (CARDS) Proposal



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