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What's New for Investors

The Coronavirus Is Novel, but Crisis-related Scams Are Nothing New

Investors should be wary of schemes on the internet and social media claiming to raise money for companies promising new health care products that detect, treat, or cure COVID-19. While some could be legitimate, many will ring hollow, leaving investors with nothing but broken promises and empty pockets.

October 6, 2020


Tips for World Investor Week 2020

The SEC's Office of Investor Education and Advocacy, the Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA), and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to highlight key messages from World Investor Week 2020, a global campaign to raise awareness about the importance of investor education and protection.

October 5, 2020


No, FINRA Did Not Approve That Security for Trading

News reports stating that FINRA has approved a security for trading, quoting or listing are wrong in virtually every respect. FINRA does not ever qualitatively evaluate or approve a security such as a stock. Instead, FINRA verifies a broker-dealer can demonstrate it has completed its required diligence to begin quoting.

September 30, 2020


3 Ways to Guard Against Excessive Trading in Your Brokerage Account

For some investors, a high-volume trading strategy could be something they affirmatively seek—perhaps because they have a strong appetite for risk, desire to engage in market speculation, or both. For others, such a strategy might not make sense and could be a sign of a type of misconduct known as "excessive trading."

September 21, 2020


5 Things to Know About Preparing a Will

If you are one of those Americans without a will, vow to make it happen. Here are five things you should know to get you started.

September 18, 2020