Recent Announcements

February 16, 2018

Imposter Scams: Don’t Be Fooled By “Guarantees” or Money-Making Pitches from “Regulators”

We are issuing this Alert to warn investors that scammers are posing as regulators to separate you from your money. We want you to know that neither FINRA, nor any of its executives, will ever provide a "guarantee" on an investment or offer to facilitate your participation in any sort of money-making scheme.

 


February 15, 2018

What Does It Mean to Be Pre-Tax or Tax-Advantaged?

The taxman cometh and that may have you wondering, what does it mean for something to be pre-tax or tax-advantaged? From transportation benefits to retirement accounts, read on to learn how pre-tax benefits and tax-advantaged accounts can reduce your tax burden and leave more money in your pocket.

 


February 6, 2018

Market Volatility: Check Your Emotions At the Door

A sharp tumble in stocks on Monday, February 5, 2018, might have some investors feeling twitchy, but it is important for investors to keep their long-term investment goals in mind, according to the Financial Industry Regulatory Authority’s head of Investor Education.

 


February 5, 2018

When Good Credit Is Romantic: Your Credit Score May Affect Your Love Life

Can your credit score predict how long your relationship will last? The answer may be yes, according to a study published by The Federal Reserve.

 


February 5, 2018

Conn. Investors Learn Important Investing Tips at Event with Rep. Himes

State and national securities regulators and legislators came together last week in Stamford, Conn., to talk to area savers and investors about how to make informed investment decisions and to protect their retirement savings from fraud at an event featuring U.S. Congressman Jim Himes.

 


February 1, 2018

Learning the Tricks of the Boiler Room Trade

Being a victim of investment fraud doesn't have to be the end of the story, it can be a new beginning. Just ask Harry, a victim of boiler room scams who used his experience to become a Fraud Fighter.

 


January 30, 2018

Opening a Brokerage Account: Part 1

In the first installment of our two-part series, we lay out the types of personal information you will need to provide when you open a brokerage account.

 


January 25, 2018

The Time Is Now: The True Value of Time for Young Investors

Young investors may not have as much to save, but they do have one very important asset on their side: time. This story of two young investors illustrates the true value of time.

 


January 23, 2018

Interval Funds—6 Things to Know Before You Invest

Interval funds are closed-end investment companies that may appeal to investors looking for new ways to diversify their portfolio. Here are 6 things to know before investing in interval funds.

 


January 18, 2018

Margin Debt at Record Levels: Know the Risks

According to FINRA's latest margin statistics, borrowing by investors in November 2017 stood at an all-time high of $627.4 billion. FINRA often gets phone calls from investors after they receive a margin call. Now, in the midst of a bull market, is a good time to get ahead of things. In the event you get a margin call from your brokerage firm—are you prepared?

 


January 16, 2018

Got a Raise? Make the Most of It With These 4 Tips

Expecting a bump in your pay soon? You're not alone. But before you get carried away, it's time to stop and think about how you can make the most of the extra cash so you aren't soon left wondering how you ever lived on less.

 


January 11, 2018

How Are Your Investments Doing? Returns, Explained

An investment’s performance is more than just the amount it has appreciated since you bought it, whether we’re talking stocks, bonds, real estate or some other asset. If you want to make informed investment decisions, it’s important that you understand how to calculate your return on investment (ROI).

 


January 9, 2018

Securities Class Action Lawsuits: What Investors Should Know

It is not uncommon for FINRA to receive calls from investors about a securities class action lawsuit, especially on the heels of a large settlement. Based on questions we receive from investors, here are eight things you should know about securities class actions involving investors.

 


January 4, 2018

FINRA Foundation and Partners Discuss Plans for 2018

Watch to see how the FINRA Foundation partners with other organizations—including George Washington University’s Global Financial Literacy Excellence Center, the AARP Foundation and the National White Collar Crime Center—to improve the financial capability of Americans and prevent financial fraud.

 


January 3, 2018

5 Ways to Make 2018 Your Strongest Financial Year Yet

When it comes to New Year's resolutions, Americans often focus on health-related goals, such as exercising more and eating better. This year, make your resolutions about another kind of health: your financial health.