FINRA Readies Changes to Communications Rules
FINRA is also taking comments until mid-May on member application rules.
SEC, FINRA: 5 Tips to Avoid Penny Stock Scams
SEC, FINRA highlight ways investors can avoid dormant shell company scams.
FINRA Warns About Investing in Nigeria, Lebanon, Other Frontier Markets
FINRA issued an investor alert, saying these markets have “heightened risks.”
FINRA Warns on Fake High-Interest CDs
FINRA investor alert provides list of red flags that indicate a fraudulent CD offer.
6 Bitcoin Risks for Investors: FINRA
FINRA on Tuesday warned investors of the top six reasons why buying and using a digital currency such as bitcoin can be risky.
10 Tips for a Successful Rollover: FINRA
FINRA reminds investors considering a retirement account rollover that due diligence can “keep your nest egg from suffering unnecessary cracks.”
FINRA Warns Investors About ‘Risky’ Private Placements
The alert comes two months after the SEC lifted a ban on advertising such investments, as required under the JOBS Act.
Scammers Salivate Over Americans’ Investing Ignorance
Many Americans lack an understanding of reasonable investment returns, leaving them vulnerable to fraudulent sales pitches, according to the FINRA Foundation.
Marijuana Stock Scams on the Rise
Now that medical marijuana is legal in 19 states, FINRA warns investors that scammers are capitalizing on its popularity.
FINRA: 6 Factors to Consider Before Investing in Alternative Funds
FINRA is warning investors about the risks of treating alternative mutual funds like traditional mutual funds, citing their more nontraditional investment holdings and more complex trading strategies.