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Last update: 2013-06-04

4 Ways to Guard Against Investment Fraud

2013-06-04 :: investoreducation@finra.org (FINRA Investor Education)

Fraudsters tend to go after people who are college-educated, optimistic and self-reliant. And once fraudsters make contact, they use high-pressure tactics to get people to respond quickly. Use these four tips to resist these tactics and help distinguish good investment offers from bad ones.

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No Rainy-Day Savings Can Lead to Mortgage Problems

2013-04-25 :: investoreducation@finra.org (FINRA Investor Education)

The FINRA Investor Education Foundation released a study that looks at the relationship between rainy-day funds and mortgage payments during the Great Recession. The study suggests that having a rainy-day fund can make the difference between staying in your house or facing foreclosure when faced with a large and unexpected drop in your income.

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5 Tips for Financial Security

2013-03-21 :: investoreducation@finra.org (FINRA Investor Education)

The economic uncertainty of recent years continues to make this a challenging time for many consumers and investors. The FINRA Investor Education Foundation put together 5 tips that can help you successfully navigate changing conditions and keep your finances under control.

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It Pays to Understand Your Brokerage Account Statements and Trade Confirmations

2012-10-24 :: investoreducation@finra.org (FINRA Investor Education)

Investors should always review their brokerage account statements and trade confirmations. These documents help you stay on top of your investment holdings, and they also provide valuable information that can alert you to errors, or even misconduct like unauthorized trading or excessive fees for handling transactions.

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Email Hack Attack? Here’s What You Should Do

2012-07-09 :: investoreducation@finra.org (FINRA Investor Education)

In the most serious cases, a compromised email account can lead not only to identity theft, but also to theft of your money. That’s why one of the most important first steps you should take if your email account has been hacked is to notify your brokerage firm and other financial institutions.

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Tips for Weathering Tough Economic Times

2012-06-04 :: investoreducation@finra.org (FINRA Investor Education)

Tough economic times have taken a toll on many Americans over the last couple of years. But making sound financial decisions can help you weather financial storms. Follow these practical tips to help you keep your finances on course.

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Structured Notes With Principal Protection: Note the Terms of Your Investment

2011-10-19 :: investoreducation@finra.org (FINRA Investor Education)

The retail market for structured notes with principal protection has been growing in recent years. Learn how they work and the risks that come with them.

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Stock-Based Loan Programs: What Investors Need to Know

2011-09-14 :: investoreducation@finra.org (FINRA Investor Education)

Some stock-based loan programs may carry more risks, higher costs and tax consequences than investors realize. Learn what questions to ask to avoid surprises.

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Moving Your 401(k)

2011-06-29 :: investoreducation@finra.org (FINRA Investor Education)

Whether you’re retiring or changing jobs, there will come a time when you need to move your retirement savings plan. Learn about the choices you will have to make.

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Investment Scams Follow in the Wake of the Crisis in Japan

2011-05-25 :: investoreducation@finra.org (FINRA Investor Education)

Investment scams tout companies with products and services that capitalize on the earthquake, tsunami and nuclear crisis.

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Five Ways to Get Control of Your Finances

2011-04-26 :: investoreducation@finra.org (FINRA Investor Education)

Americans can do more to save money and prepare for the future, the FINRA Investor Education Foundation’s State-by-State Financial Capability Survey shows. Here are five things to consider.

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Pre-IPO Offerings—These Scammers Are Not Your Friends

2011-04-13 :: investoreducation@finra.org (FINRA Investor Education)

Think twice about offers to buy shares in big name companies before they “go public.” Learn how to spot trouble and avoid getting taken.

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How to Transfer Your Brokerage Account

2011-03-23 :: investoreducation@finra.org (FINRA Investor Education)

Sooner or later you may want to change brokers. Find out what you should ask and how the process works to avoid delays.

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Six Simple Strategies for Financial Fitness

2011-01-19 :: investoreducation@finra.org (FINRA Investor Education)

Researchers studied the habits of financially successful households and came up with these tips to help you stay financially fit.…

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Taking the Shine Off the “Halo Effect”

2010-12-17 :: investoreducation@finra.org (FINRA Investor Education)

The brain is hard-wired with unconscious biases, researchers say, like judging attractive people as more competent. If you’re shopping for a financial professional, find out how not to be swayed.…

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Learning to Invest, Part 19 - Buying on Margin

2010-11-17 :: investoreducation@finra.org (FINRA Investor Education)

Borrowing from your broker increases your purchasing power, and your risk of higher losses.…

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Learning to Invest, Part 19—Buying on Margin

2010-11-17 :: investoreducation@finra.org (FINRA Investor Education)

Borrowing from your broker increases your purchasing power, and your risk of higher losses.…

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Bonds or Bond Funds?

2010-10-27 :: investoreducation@finra.org (FINRA Investor Education)

Investing in a bond mutual fund or bond ETF is not the same as investing in a bond. Knowing their differences and risks can help you decide which is right for you.…

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Learning to Invest, Part 18 - TIPS

2010-10-13 :: investoreducation@finra.org (FINRA Investor Education)

If you’re worried rising prices will outpace investment returns, learn more about these U.S. Treasury bonds.…

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Learning to Invest, Part 17 - Treasury Securities

2010-09-22 :: investoreducation@finra.org (FINRA Investor Education)

The U.S. government finances its debt by selling securities. Find out how Treasury securities work.…

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Avoid the High Yield Investment Program Hype

2010-09-08 :: investoreducation@finra.org (FINRA Investor Education)

You might hear a lot of buzz about HYIPs on social media sites, but most of these schemes bear the hallmarks of fraud and should be avoided.…

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Learning to Invest, Part 16 - Investor Rights

2010-08-25 :: investoreducation@finra.org (FINRA Investor Education)

From rules about corporate disclosure to protecting investors against false claims and fraud, all investors should know their basic rights and protections.…

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Oil Spill Scams

2010-08-11 :: investoreducation@finra.org (FINRA Investor Education)

Some companies touting their role in the Gulf oil spill cleanup may be legitimate, but others could be only looking to clean out unsuspecting investors.…

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Learning to Invest, Part 15 - Understanding Bond Yields

2010-07-21 :: investoreducation@finra.org (FINRA Investor Education)

There are several types of yield that bond investors must know if they want to accurately track their returns.…

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Learning to Invest, Part 14 - Mutual Fund Loads and Fees

2010-07-07 :: investoreducation@finra.org (FINRA Investor Education)

When it comes to investing in mutual funds, minimizing fees can add up to big savings, especially after decades of compounding.…

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Learning to Invest, Part 13 - Variable Annuities

2010-06-23 :: investoreducation@finra.org (FINRA Investor Education)

These insurance products offer tax-deferred savings, but also come with their own set of restrictions, charges and penalties.…

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Learning to Invest, Part 12 – Employer-Sponsored Retirement Plans

2010-06-09 :: investoreducation@finra.org (FINRA Investor Education)

Employer plans are the number one way most Americans save for retirement, but what you don’t know about putting money in or taking it out can cost you.…

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Learning to Invest, Part 11 – Individual Retirement Accounts

2010-05-26 :: investoreducation@finra.org (FINRA Investor Education)

Want to boost your retirement savings? If you qualify, individual retirement accounts provide tax-breaks to help your money grow faster.…

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Learning to Invest, Part 10 – Taxable vs. Tax-Deferred Accounts

2010-05-12 :: investoreducation@finra.org (FINRA Investor Education)

Which is better: saving in a taxable, tax-deferred or tax-free investment account? It all depends on how you plan to use the money.…

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Learning to Invest, Part 9 – Tracking Performance

2010-04-21 :: investoreducation@finra.org (FINRA Investor Education)

How are your investments doing? As time goes by, you will need to monitor your portfolio to ensure your investments are working together as planned.…

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Reverse Convertibles

2010-04-07 :: investoreducation@finra.org (FINRA Investor Education)

These structured products are complex and combine the risks that come with stocks and debt instruments.…

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Learning to Invest – Part 8: Opening a Brokerage Account

2010-03-24 :: investoreducation@finra.org (FINRA Investor Education)

Think opening a brokerage account is difficult? Learn about what goes into it and what questions you'll be asked when opening your account.…

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Green Investing Scams

2010-03-11 :: investoreducation@finra.org (FINRA Investor Education)

Fraudsters are recycling their old tricks to con investors into green energy scams. Learn the warning signs and how to spot them.…

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Learning to Invest – Part 7: How to Find an Investment Professional

2010-02-24 :: investoreducation@finra.org (FINRA Investor Education)

You don't have to build a portfolio or comprehensive financial plan on your own. Learn the steps you can take to find a reliable investment professional.…

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Learning to Invest – Part 6: Mutual Funds

2010-02-16 :: investoreducation@finra.org (FINRA Investor Education)

Does researching and buying a broad mix of stocks and bonds sound too difficult and expensive? Then consider mutual funds for instant diversification.…

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Financial Capability Study, National Survey Results

2010-01-20 :: investoreducation@finra.org (FINRA Investor Education)

Americans are struggling, but those with greater financial capability (which measures not only knowledge and attitudes but also actual behaviors and skills) are better prepared for the future and more likely to avoid costly mistakes.…

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Learning to Invest Series: Part 5 - Intro to Bonds

2010-01-06 :: investoreducation@finra.org (FINRA Investor Education)

Are you concerned with capital preservation and income generation? You could consider investing in bonds. Learn about the various bonds available to you and the features they all share.…

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Learning to Invest Series: Part 4 - Stocks

2009-12-16 :: investoreducation@finra.org (FINRA Investor Education)

Do you know what investment has performed best over the long haul? Learn more about stocks and how they might fit into your portfolio.…

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Learning to Invest Podcast Series: Part 3 - Managing Risk

2009-12-02 :: investoreducation@finra.org (FINRA Investor Education)

Are you putting all your eggs in one investment basket? Asset allocation and diversification help reduce risk by spreading your money across many types of investments.…

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Learning to Invest Podcast Series: Part 2 - Risks and Rewards

2009-11-18 :: investoreducation@finra.org (FINRA Investor Education)

How much risk are you willing to take when investing? Learn about three types of basic investments and the risks associated with each.…

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Learning to Invest Podcast Series: Part 1 - Getting Started

2009-11-04 :: investoreducation@finra.org (FINRA Investor Education)

Don't have a clue when it comes to investing? Start with a plan. Learn how to determine where you are financially, then set savings goals and deadlines to reach them.…

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How to Invest in Muni Bonds

2009-10-21 :: investoreducation@finra.org (FINRA Investor Education)

Municipal securities historically have been considered relatively conservative investments, but like all investments they carry risk. Listen to learn more about potential muni bond risks and how to spot them.…

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Seniors Beware: What You Should Know About Life Settlements

2009-10-07 :: investoreducation@finra.org (FINRA Investor Education)

Selling your life insurance policy for cash might seem attractive, but life settlements can be costly if you're not careful. Research all your options before making up your mind. Listen to learn more.…

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Smart Saving for College - Part 2: Other Tax-Advantaged Options

2009-09-23 :: investoreducation@finra.org (FINRA Investor Education)

Saving for college tuition can be done in tax-advantaged ways. Learn about three more saving options and the advantages and disadvantages of each one.…

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Smart Saving for College - Part 1: 529 Plans

2009-09-09 :: investoreducation@finra.org (FINRA Investor Education)

College tuition can be a big financial expense. Learn how state savings plans could help you save for college and cut your taxes too.…

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Avoiding Investment Scams

2009-08-26 :: investoreducation@finra.org (FINRA Investor Education)

Investment fraud comes in five classic types. Learn how to spot a scam's red flags and hear about tools you can use to steer clear.…

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Organize Your Financial Records

2009-08-12 :: investoreducation@finra.org (FINRA Investor Education)

Investing can involve a lot of paperwork. Listen for tips to help you organize these financial documents and keep track of your money.…

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Making Smart Financial Choices After a Job Loss - Part 2

2009-07-29 :: investoreducation@finra.org (FINRA Investor Education)

Keep your long-term finances on the right track when experiencing an extended period of unemployment. Listen to find out the right questions to ask about your company's benefit plans and how to protect yourself when seeking financial advice.…

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Making Smart Financial Choices After a Job Loss - Part 1

2009-07-15 :: investoreducation@finra.org (FINRA Investor Education)

Cushion the blow of a potential job loss by planning wisely for that possibility. Learn how to take control of your finances as you enter a period of unemployment.…

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Psychology of a Scam

2009-06-18 :: investoreducation@finra.org (FINRA Investor Education)

FINRA Investor Education staff explain the psychological tactics fraudsters use and ways to guard against them.…

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Customer Account Protection: The Role of the Securities Investor Protection Corporation (SIPC)

2009-03-03 :: investoreducation@finra.org (FINRA Investor Education)

FINRA Investor Education staff discuss the role of the Securities Investor Protection Corporation as it relates to the protection of your brokerage account if the brokerage firm fails.…

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Required Minimum Distributions - Suspended for 2009

2009-01-14 :: investoreducation@finra.org (FINRA Investor Education)

Congress took action in December 2008 to suspend the requirement to withdraw a minimum amount from qualified retirement accounts such as 401(k)s and 403(b)s during 2009. If you are 70 1/2, or will be in 2009, it's important to understand the ramifications…

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What Investors Can Expect from FINRA's Dispute Resolution Process

2008-12-08 :: investoreducation@finra.org (FINRA Investor Education)

This podcast, the audio version of a FINRA investor education webcast, explains in plain English what to expect from FINRA's arbitration and mediation processes, and includes an explanation of the differences between them and references to available resou…

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"Free Lunch" Investment Seminars—Avoiding the Heartburn of a Hard Sell

2008-11-20 :: investoreducation@finra.org (FINRA Investor Education)

Investors frequently get invited to free seminars that promise to educate them about investing strategies or managing money in retirement—often with an expensive meal provided at no cost. But just because someone buys you breakfast, lunch or dinner doesn'…

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Bearing Up in a Bear Market: You Still Need to Open Your Account Statements

2008-10-21 :: investoreducation@finra.org (FINRA Investor Education)

Especially in a down market, investors may be tempted to try and avoid the trauma of seeing the reduced value of their holdings by not opening their statements for their brokerage, mutual fund, or 401(k) or other retirement plan accounts. It has even been…

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Protect Your Online Brokerage Account

2008-09-09 :: investoreducation@finra.org (FINRA Investor Education)

The Internet and, more recently, wireless technology have made it easy for investors to check brokerage account information and initiate investment transactions on the go. Investors should take precautions to help ensure the security of their brokerage ac…

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Reverse Mortgages: Avoiding a Reversal of Fortune

2008-08-14 :: investoreducation@finra.org (FINRA Investor Education)

If you are in your sixties, and own your home, chances are you have heard about reverse mortgages—or will soon. Some financial institutions are aggressively marketing reverse mortgages as an easy, cost-free way for retirees to finance lifestyles that can…

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Putting too Much Stock in Your Company—A 401(k) Problem

2008-07-17 :: investoreducation@finra.org (FINRA Investor Education)

Now is a good time to ask yourself if you hold too much of your retirement nest egg in your employer's stock.…

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Think Slow for Better Investment Decisions

0000-00-00 :: investoreducation@finra.org (FINRA Investor Education)

Choosing investments when your head is swimming with information could lead to trouble. Find out how to recognize and avoid "fast thinking."…

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Should You Open an IRA?

0000-00-00 :: investoreducation@finra.org (FINRA Investor Education)

Individual retirement accounts can offer tax deductions today or tax-free earnings growth for years to come. Here are some things to keep in mind before opening an account.…

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Estimate Retirement Expenses Now to Avoid Overconfidence

0000-00-00 :: investoreducation@finra.org (FINRA Investor Education)

Now is a good time to ask yourself if you hold too much of your retirement nest egg in your employer's stock.…

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FINRA Investors Podcasts

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