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Recent Investor Announcements

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


5 Financial Tips for New Parents

Whether you’re expecting your first child, are the parent of a newborn or are starting to think about conceiving or adopting, it’s never too soon to think about getting your financial house in order. Here are five steps to get you started.

August 27, 2020


FINRA Foundation News: Military Spouses Receive Fellowships to Conduct Financial Counseling

Military service members and their families often face unique financial challenges complicated by frequent moves, cost of living adjustments and un- or underemployment of military spouses. 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 27, 2020


Three Resources for Senior Investors

In case you missed it, Senior Citizen's Day was August 21. Designated by President Ronald Reagan in 1988, the day offers a time 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.

August 21, 2020