The PIABA Foundation

Promoting Investor Education

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Investor Alerts

Investor Alerts

If you're like many investors, your portfolio contains bonds. When you purchased those investments, you may not have given much thought to whether you'd be able to sell them when you want to. FINRA is issuing this alert to educate investors about bond liquidity, and the potential for decreased liquidity and investment losses for those who sell their bonds before maturity at a time of market stress.

FINRA is issuing this alert to inform brokerage account holders, family members and other beneficiaries about the value of preparing for the inevitable, and the general process firms follow when an account holder passes away. We also provide tips for making the transfer process as efficient and trouble-free as possible for account holders and also for heirs and beneficiaries.

We are issuing this Alert to warn non-U.S. investors that scammers are using fraud—including setting up phony "regulator" websites and fake identities—to separate you from your money.

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