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What's New for Investors

Short Interest – What It Is, What It Is Not.

Short interest is a snapshot of the total open short positions on the books and records of brokerage firms on a given date. FINRA and U.S. exchange rules require that this information be reported twice a month. Short interest data does not—and is not intended to—equate to the short sale volume data on FINRA’s website.

April 12, 2021


Investing in a SPAC

An unprecedented number of companies are pursuing an alternative path to entering the public market by using a special purpose acquisition company or SPAC. In 2020, SPACs raised over $80 billion, and in the first nine weeks of 2021 SPACS raised over $70 billion. Here are some basics on SPAC investing.

March 29, 2021


New Research: Lonely Older Adults with Low Cognition at Greater Risk for Poor Financial And Healthcare Decision Making

The harmful consequences of Americans’ prolonged social isolation due to the coronavirus pandemic may be even greater for lonely older adults with low cognition. These individuals are at high risk for poor financial and healthcare decision making, according to new research from the FINRA Investor Education Foundation, the Indiana University School of Medicine and the Rush Alzheimer’s Disease Center.

March 22, 2021


New Research: Repeated Exposure to Fraud Awareness Education Reduces Susceptibility to Investment Scams

While the economic fallout caused by COVID-19 has led to a significant rise in tips, complaints and referrals involving investment scams, new research from the FINRA Investor Education Foundation (FINRA Foundation) and the Center for Economic and Social Research (CESR) provides evidence that repeated exposure to concise, online educational interventions can reduce susceptibility to investment fraud among U.S. adults.

March 10, 2021


First-of its-Kind Study Identifies Drivers of Chronic Fraud Victimization

AARP, the FINRA Investor Education Foundation (FINRA Foundation) and Heart+Mind Strategies today released Addressing the Challenge of Chronic Fraud Victimization, a study that identifies evidence-based ways to help repeat victims of financial fraud and their families. The study, published in recognition of National Consumer Protection Week (NCPW), used a behavior model to help illuminate factors that may contribute to repeat or chronic victimization by financial fraud schemes.

March 4, 2021


FINRA Foundation Seeks Applicants for Military Spouse Fellowship

Starting today, the FINRA Investor Education Foundation Military Spouse Fellowship is accepting applications for its 2021 class of financial FINRA Fellows — a unique program designed to increase the financial capability of U.S. service members and their families. 

March 1, 2021


New Research: Four in 10 American Households Had Difficulty Withstanding a Financial Crisis Before COVID-19

Well before the COVID-19 pandemic, nearly four in 10 households lacked financial resilience, making them vulnerable to financial hardships, including those associated with the current pandemic or future financial crises, according to a report from the FINRA Investor Education Foundation. Meanwhile, fewer than two in 10 households appeared to be financially resilient.

February 16, 2021


Nothing Micro About Microcap Fraud: Investing in Low-Priced Stocks

Major events and times of uncertainty—such as the current COVID-19 pandemic—have long been exploited by unscrupulous, typically unlicensed, promoters to perpetrate fraud, and microcap securities remain one of their primary tools for such schemes. This and other types of financial fraud continue to be an area of focus for FINRA and other regulators.

February 10, 2021


Social Isolation and the Risk of Investment Fraud

Securities regulators raise awareness that increased social isolation during the ongoing COVID-19 pandemic can have a devastating impact on senior investors, offering tips and resources.

February 9, 2021