Personal Finance

By Anonymous (not verified), 10 September, 2021
Short Title
Are You Staying Cyber Safe? 7 Tips for Securing Your Financial Accounts

As many of us spend more and more time online, cyber criminals continue to lurk in the background, devising plans to steal your personal information. These seven tips can help you better secure your financial accounts and deter cybercriminals from accessing your personal financial information.

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 30 August, 2021
Short Title
SPAC Warrants: 5 Tips to Avoid Missed Opportunities

SPAC "units" often consist of shares and warrants—or a fraction of a warrant. The terms of these warrants can vary greatly. Be sure you understand the terms of the specific warrants you are considering as well as the risks associated with the offering.

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 27 July, 2021
Short Title
Beware of Broker Imposter Scams

While impersonation scams are not new, surprising new variants arise every day. Regulators have observed an increase in cyber-related incidents, including fraudsters creating fake websites using the names and professional details of actual industry professionals (who have no connection to the imposter sites).

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 21 June, 2021
Short Title
Pooled Money: Understanding Unit Investment Trusts

When it comes to financial products that offer diversification, investors have no shortage of choices. Unit investment trusts are just one of those options.

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 19 May, 2021
Short Title
Avoiding Fake Check Scams

Be careful with unexpected or suspicious checks - there is usually no way to recover the money you sent to a third party.

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 12 April, 2021
Short Title
Short Interest — What It Is, What It Is Not.

Short interest is a snapshot of the total open short positions on the books and records of brokerage firms on a given date. FINRA and U.S. exchange rules require that this information be reported twice a month. Short interest data does not — and is not intended to — equate to the short sale volume data on FINRA’s website.

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 26 March, 2021
Short Title
Investing in a SPAC

An unprecedented number of companies are pursuing an alternative path to entering the public market by using a special purpose acquisition company or SPAC. In 2020, SPACs raised over $80 billion, and in the first nine weeks of 2021 SPACS raised over $70 billion. Here are some basics on SPAC investing.

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 5 February, 2021
Short Title
Social Isolation and the Risk of Investment Fraud

Securities regulators raise awareness that increased social isolation during the ongoing COVID-19 pandemic can have a devastating impact on senior investors, offering tips and resources.

Core Official Date
Author (External)
FINRA, NASAA & SEC Staff ([email protected])
By Anonymous (not verified), 29 January, 2021
Short Title
Following the Crowd: Investing and Social Media

No matter where you get your trading insights, and whether you are following a recommendation to buy stocks, bonds, options or something else, know this: where there is opportunity, there is also risk. Here are 10 tips.

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 18 December, 2020
Short Title
Holiday Shopping Cybersecurity Tips

Online shopping can be a great way to snag deals and comparison shop. But it is not without its perils. Check out these tips to stay safe as you shop.

Core Official Date
Author (External)
FINRA Staff ([email protected])