Recent Announcements

September 19, 2017

Capital Gains Explained

You bought a stock. That stock then surged 20 percent in value. Hooray! You now have 20 percent more cash in your pocket, right? Not so fast. Here’s a look at what the capital gains tax is and how it works.


September 13, 2017

Beware of Stock Fraud in the Wake of Hurricanes Harvey and Irma

After a major hurricane like Harvey or Irma, one thing you can count on is that scammers will try to take advantage of the situation. This article explains how to spot and protect yourself from potential investment scams in the wake of Harvey and Irma.


September 12, 2017

5 Things to Do In Your 50s and 60s to Boost Retirement Savings

When you're young, it's easy to fall into the trap of thinking there's no rush to save for retirement. But before you know it, you may find yourself in your 50s or 60s, and nowhere near your retirement savings goal. These tips can help you catch up.


September 7, 2017

T+2 Is Here

A new era in securities settlement has arrived. T+2—the new, and shorter, standard settlement cycle for securities transactions in the U.S.—is now a reality.


August 31, 2017

Beware of Stock Fraud in the Wake of Hurricane Harvey

Financial fraud routinely follows on the heels of disaster. Hurricane Harvey and the historic flooding it left it its wake is no exception. We are issuing this Alert to warn investors that investment scams may come your way touting stocks and other investments with the promise of huge gains in the wake of Harvey. This Investor Alert explains how to spot and protect yourself from potential investment scams.


August 31, 2017

Initial Coin Offerings: Know Before You Invest

FINRA has issued a new alert to inform investors about the potential risks of participating in Initial Coin Offerings, or ICOs. Investors should be aware that ICOs differ significantly from initial public offerings (IPOs). Unlike stocks, ICOs typically confer no ownership rights in the company; and unlike bonds, ICOs do not involve investors lending money to the issuer. Instead, ICOs involve new technologies and products that are highly technical and complex, and investors can lose some or all of the money they invest in an ICO.


August 24, 2017

Planning Ahead—Have You Chosen Your Beneficiaries?

It’s tempting to put off until tomorrow some of the important decisions about what happens to your retirement assets when you die. But it pays to plan ahead, especially for accounts that aren’t transferred by will or trust. Start here: Make sure there are designated beneficiaries for any retirement savings plans and pensions you own or may be entitled to.


August 22, 2017

6 Tips for Parents Looking To Improve Financial Literacy in Kids

Some students heading back to school this fall will see at least a bit of their classroom time devoted to personal finance, but that doesn’t mean the lessons should stop there. Here are six tips for parents looking to guide their kids toward wise money management at an early age.


August 17, 2017

4 Financial Resources for Senior Investors

Senior Citizen’s Day, which is August 21, gives us the opportunity to pay tribute to the many contributions seniors make to their communities—and to bring awareness to issues of particular importance to America’s older citizens. One of those issues is investor protection. Here are four resources from FINRA that seniors can use every day of the year.


August 15, 2017

How to Talk to Aging Parents About Money

When you were a kid, your parents probably talked to you about the value of a buck or how you might spend your allowance. As you and your parents age, you may find the situation reversed—and that it’s time for you to have the “money talk” with your parents.


August 11, 2017

Real Analysis or Paid Promotion? Beware of Investment Research Stock Scams

Fraudsters seeking to convince you of "hot" new investment opportunities may try an array of tactics. Beware of this new tactic that may fool even sophisticated investors: posting stock recommendations on stock research websites that investors may turn to for securities news and analysis.


August 10, 2017

Here's How America Saves For Retirement. How Do You Save?

Americans have changed the way they save for retirement. Gone are the days where a company pension served as the cornerstone of retirement assets for many Americans. Here are six trends. How do your retirement saving practices stack up?


August 9, 2017

Military Spouses Receive Fellowships to Conduct Financial Counseling

The FINRA Investor Education Foundation has awarded fellowships to 50 military spouses seeking to earn their AFC® (Accredited Financial Counselor®) designation to provide military service members and their families one-on-one and group financial counseling and education.


August 1, 2017

The Native American Experience: Understanding Financial Capability

Many Native Americans—more so than other minority populations—face difficult financial circumstances and undergo high levels of financial fragility, with one in four Native Americans living in poverty, according to a recent study.