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What's New for Investors

New Research: Racial And Ethnic Disparities Persist Among American Households Who Own Taxable Investments

African Americans and Hispanics/Latinos continue to be underrepresented among investor households in America, despite modest gains by African Americans in recent years, according to new research released by the FINRA Investor Education Foundation (FINRA Foundation).

October 7, 2021


Key Topics for World Investor Week 2021: Investor Bulletin

As nations across the globe celebrate World Investor Week 2021, U.S. regulators share tips for Main Street investors, including what to know about ESG investing, digital assets, day trading and SPACS, plus how to spot and avoid broker imposter scams.

October 4, 2021


FINRA, NASAA and SEC OIEA Urge Investors to Establish a Trusted Contact to Increase Investor Protection

Is your financial firm asking you for a “trusted contact”? Are you wondering why? We asked them to ask you! Your financial firm may request that you give them the name and contact information of a trusted contact. While it is not mandatory that you do so, FINRA, the North American Securities Administrators Association (NASAA) and staff from the SEC Office of Investor Education and Advocacy urge you to consider providing the name of someone you trust as a contact on your accounts.

September 28, 2021


Are You Staying Cyber Safe? 7 Tips for Securing Your Financial Accounts

As many of us spend more and more time online, cyber criminals continue to lurk in the background, devising plans to steal your personal information. These seven tips can help you better secure your financial accounts and deter cybercriminals from accessing your personal financial information.

September 13, 2021


Military Spouses Receive Fellowships to Conduct Financial Counseling and Education

In an ongoing effort to increase the financial capability of service members and their spouses, the FINRA Investor Education Foundation Military Spouse Fellowship awarded 50 fellowships to military spouses seeking to earn their AFC® (Accredited Financial Counselor®) designation.

August 31, 2021


SPAC Warrants: 5 Tips to Avoid Missed Opportunities

SPAC "units" often consist of shares and warrants—or a fraction of a warrant. The terms of these warrants can vary greatly. Be sure you understand the terms of the specific warrants you are considering as well as the risks associated with the offering.

August 30, 2021


FINRA Launches Educational Initiative Aimed at Newer Investors

FINRA and FINRA Foundation Issue Special Notice Soliciting Comment on Ways to Reach and Educate Novice Investors
When it comes to financial products that offer diversification, investors have no shortage of choices. Unit investment trusts are just one of those options.

June 30, 2021


Pooled Money: Understanding Unit Investment Trusts

When it comes to financial products that offer diversification, investors have no shortage of choices. Unit investment trusts are just one of those options.

June 25, 2021