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Recent Investor Announcements

SEC Regulation Best Interest and Form CRS: What You Need to Know

On June 30, 2020, new rules take effect that are designed to help retail investors better understand and navigate their relationships with investment professionals and make informed choices about the type of relationship for their needs and circumstances. The new Securities and Exchange Commission (SEC) rules, among other things, enhance the standard of conduct broker-dealers must provide to their retail customers and require broker-dealers and SEC-registered investment advisers (RIAs) to provide a new relationship summary — Form CRS — to retail investors.

June 30, 2020


In a Search for Safety, Be Alert for Imposters

Whenever markets drop sharply or show signs of turbulence, investors often shift their assets to what they perceive to be safer investments. But fraudsters know this—and they can quickly change their pitches to match what investors seek.

June 26, 2020


Financially Independent Kids

When it comes to pleasing Dad on Father's Day, there are a lot of possible gift ideas. A subscription to a "bacon-of-the-month" club, the latest grilling tools or a new golf bag could be a good fit. But there's a gift Dad might appreciate even more—and one that will stand the test of time: financially independent kids. Here are five ways to show Dad that when it comes to saving for the future and keeping your finances in check, you've got it covered.

May 11, 2020


COVID-19 Early Withdrawals

FINRA, NASAA, and the staff of the SEC’s Office of Investor Education and Advocacy have joined together to provide this warning to investors about promoters targeting retirement accounts, as well as to provide a few key considerations for investors thinking of using 401(k) withdrawals or loans to purchase securities.

June 3, 2020


Fraud and Your Investment Accounts During COVID-19 Pandemic

The COVID-19 pandemic is affecting most aspects of our society and daily lives, as well as the U.S. economy and markets. Events with such profound impact routinely create opportunities for financial fraud. In addition to new scams focusing on COVID-19, previous scams may also find new life as fraudsters adapt to and exploit recent events and related vulnerabilities, especially those related to the remote working environment.

May 11, 2020