Financial Industry Regulatory Authority

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Penny Stocks: Why You Should Always Stay Away

Scams With the exception of some large foreign firms, investors should generally avoid stocks that trade over-the-counter.

Scams

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  Bigger Isn’t Always Better When It Comes to Financial Advice

  Financial Planning Here’s why a smaller, independent adviser could be a better fit for your retirement-planning needs than the big-name institutions.

  By Megan Clark, Investment Adviser Representative Last updated 24 October 22

  Financial Planning
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  5 Quick and Dirty Questions to Pick a Financial Adviser

  Financial Advisers Yes, you can boil a complicated vetting process down to just five quick questions. Or you could dig deeper. The choice is yours.

  By Jeremy DiTullio, CFP® , CRPC® Published 3 April 22

  Financial Advisers
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  How the Infrastructure Bill Could Change Crypto

  cryptocurrency Cryptocurrency's path to legitimacy runs through Washington, but it's an opportunity dressed as a threat.

  By Riley Adams Published 2 November 21

  cryptocurrency
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  Check Your Financial Adviser Now (and Every Year) or Regret It Later

  wealth management Fewer than 10% of investors use such free background checks as Investor.gov, BrokerCheck or IAPD to check their financial advisers’ backgrounds. These online tools are easy to use and full of important information, so get clicking.

  By Carlos Dias Jr., Wealth Adviser Published 23 June 20

  wealth management
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  What Are the Duties for Financial Powers of Attorney?

  retirement I just got appointed agent under a financial power of attorney. What do I need to do next?

  By Jeffrey Gaffney Published 22 April 20

  retirement
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  The Coronavirus at Work: Your Legal Questions Answered

  business What are your rights and responsibilities, as a worker or a business owner? A pair of lawyers who specialize in employment law weigh in with some practical advice.

  By H. Dennis Beaver, Esq. Published 18 March 20

  business
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  How to Measure a Financial Adviser's Credibility

  Financial Planning Four easy ways to check the pedigree of a financial professional with whom you are considering entrusting your retirement.

  By Glen Smith, CFP®, CRPC® Published 10 April 19

  Financial Planning
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  Choosing a Financial Adviser: The Fiduciary Dimension

  Financial Planning Do you know what a fiduciary is? Is the financial professional you're working with a fiduciary? Here's how to find out, and why it's important to know.

  By Joelle Spear, CFP® Published 22 March 19

  Financial Planning
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  5 Ways Financial Advisers Misrepresent Themselves

  Financial Planning How to find out if your financial adviser is misleading you about their credentials, and what steps you can take to protect yourself.

  By Carlos Dias Jr., Wealth Adviser Published 28 December 18

  Financial Planning