Investor News Newsletter February 2014

February 2014

Investor Resources

FINRA Alert: 5 Do's and Don'ts for Greater Financial Security

FINRA Investor Alert: 5 Do's and Don'ts for Greater Financial SecurityCheck out these five tips to help you manage daily financial challenges and build a bright financial future in 2014.

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SEC Investor Bulletin: How Fees and Expenses Affect Your Investment Portfolio

As with anything you buy, there are fees and costs associated with investment products and services. These fees may seem small, but over time they can have a major impact on your investment portfolio. Read more.

FINRA Investor Education Foundation

FINRA Foundation and UnitedWay Worldwide Announce Grassroots Financial Education Grants

The FINRA Foundation and UWW have announced more than $1.2 million in grants to nine recipients as part of the Financial Education in Your Community initiative. The program funds community-based financial education programs across the country that provide effective, unbiased resources for individuals and families. Learn more.

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FINRA News

2/13/14 – FINRA Board Approves Rule Prohibiting Conditioning Settlements of Customer Disputes on a Customer’s Agreement Not to Oppose Expungement

2/6/14 – BATS Global Markets, FINRA Enter Regulatory Service Agreement

2/5/14 – FINRA Fines Brown Brothers Harriman a Record $8 Million for Substantial Anti-Money Laundering Compliance Failures

1/28/14 – FINRA Fines Banorte-Ixe Securities $475,000 for Inadequate Anti-Money Laundering Program and for Failing to Register Foreign Finders

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Understanding Investment Professional Designations

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