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Promoting Investor Education

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Investor Alerts

Investor Alerts

FINRA is publishing this Alert to warn investors not to send money or provide personal information associated with a widespread IRS impersonation scam timed to coincide with the October 15 deadline for anyone who filed a federal tax extension last April.

FINRA cautions investors who are considering binary options to be alert to potentially fraudulent schemes, and particularly wary of non-U.S. companies that offer binary options trading platforms.

FINRA is issuing this alert to warn investors about scammers who contact investors with promises of significant cash, prizes and lottery winnings. With fraudulent schemes, there is always a catch: You have to agree to send money upfront to secure your new riches. Our advice: don’t do it.

09/23/2015
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to provide investors with an overview of fraudulent schemes that may be carried out through radio programs.

FINRA is issuing this investor alert to help investors better understand smart beta products.

FINRA is issuing this Alert to warn investors to be wary of stock promotions sent through popular messaging apps such as WhatsApp that allow users to almost instantly exchange messages.

The recent decline in the Chinese stock market was quickly felt the world over, sending other markets tumbling and spiking volatility. We are re-issuing this Investor Alert—which was also published for investors around the world through the efforts of the International Organization of Securities Commissions—to outline the different types of market risks your investments may be exposed to and to describe steps you can take to minimize or manage those risks. Initially issued nearly a decade ago, the tips remain evergreen and relevant.

You may not be able to control if or when your company closes a plant or lays off workers—but you can take steps to manage the financial impact of those events.

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