Submitted by TaylorML on Wed, 09/23/2020 - 13:58
Short Title:
Nothing Micro About Microcap Fraud: Investing in Low-Priced Stocks
Major events and times of uncertainty—such as the current COVID-19 pandemic—have long been exploited by unscrupulous, typically unlicensed, promoters to perpetrate fraud, and microcap securities remain one of their primary tools for such schemes. This and other types of financial fraud continue to be an area of focus for FINRA and other regulators.
Core Official Date:
Wednesday, February 10, 2021 - 09:30
Submitted by TaylorML on Thu, 09/17/2020 - 16:07
Short Title:
3 Ways to Avoid Excessive Trading
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.”
Core Official Date:
Monday, September 21, 2020 - 09:30
Submitted by TaylorML on Thu, 09/17/2020 - 14:52
Short Title:
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.
Core Official Date:
Friday, September 18, 2020 - 11:45
Submitted by TaylorML on Thu, 08/27/2020 - 11:15
Short Title:
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.
Core Official Date:
Thursday, August 27, 2020 - 17:30
Submitted by TaylorML on Fri, 08/21/2020 - 15:55
Short Title:
Three Resources for Senior Investors
FINRA staff will point seniors to educational tools that can help them better understand investing, savings and investment products.
Core Official Date:
Friday, August 21, 2020 - 16:45
Submitted by TaylorML on Mon, 06/29/2020 - 15:44
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.
Core Official Date:
Tuesday, June 30, 2020 - 09:45
Submitted by TaylorML on Fri, 06/26/2020 - 10:22
When 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.
Core Official Date:
Friday, June 26, 2020 - 14:00
Submitted by TaylorML on Wed, 06/03/2020 - 13:10
Short Title:
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.
Core Official Date:
Thursday, June 4, 2020 - 09:15
Submitted by TaylorML on Tue, 05/05/2020 - 16:29
Short Title:
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.
Core Official Date:
Monday, May 11, 2020 - 09:45
Submitted by TaylorML on Wed, 04/15/2020 - 18:06
Short Title:
3 Things to Know About Stablecoins
Stablecoins are crypto assets that aim to manage volatility by tracking the values of more stable assets, like fiat currencies, among other things. Though the name might imply otherwise, stablecoins are not without risks for investors.
Core Official Date:
Friday, April 17, 2020 - 13:30
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