Financial Industry Regulatory Authority
Latest
-
Senior Scams: A 'New Friend' May Signal a Big Problem
Scams From lavish spending to social withdrawal, what to look for to ensure an aging loved one isn't a victim of elder financial abuse.
By Eleanor Laise
Scams -
4 Steps to Avoiding Investment Scams
Markets Be sure to invest safely.
By Anne Kates Smith
Markets -
Fighting Financial Fraud and Identity Theft
Scams Learn what it's like on the front lines on our ride along with the scam police.
By Anne Kates Smith
Scams -
Why Your Financial Adviser Doesn’t Text You
Financial Planning Everyone texts, but have you ever gotten a text from your financial planner? Probably not. There are rules about that sort of thing, and FINRA is cracking down.
By Marianna Shafir, Esq.
Financial Planning -
Retirees, Minimize Your Costs When Buying Bonds
investing A new rule will require brokerage firms to disclose the markup or markdown on retail customers' trade confirmations for most corporate- and agency-bond trades.
By Eleanor Laise
investing -
5 Tips for Dealing with Your Securities Broker
investing "Trust, but verify" is a good motto for dealing with the people who help you buy stocks. Here's how savvy investors can help protect themselves.
By Stephen P. Harbeck
investing -
Your Rights and Protections When Working With a Financial Adviser
Financial Planning You can file complaints against financial advisers with government agencies or industry watchdogs.
By Lisa Gerstner
Financial Planning -
Securities-Based Loans Are Risky Business
loans Also known as non-purpose loans, beware these pitfalls if you use your portfolio as collateral to borrow from your broker.
By Eleanor Laise
loans -
How Your Brokerage Account Can Bypass Probate
investing A transfer on death account passes directly to beneficiaries you designate but lets you keep control over the account now.
By Kimberly Lankford
investing
