Feb 2, 2021
… Given my financial situation, should I choose an investment advisory service? Should I choose a brokerage … contact person? Is he or she a representative of an investment adviser or a broker-dealer? Who can I talk to if I …
Feb 2, 2021
… What is IAPD (Investment Adviser Public Disclosure)? IAPD is a database that contains information on investment adviser firms that register with the SEC or one or more states. The SEC typically regulates larger investment adviser firms, while the states generally regulate …
Feb 2, 2021
… Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940, provide the framework for the … Exchange Act of 1934 Trust Indenture Act of 1939 Investment Company Act of 1940 Investment Advisers Act of 1940 Securities Investor …
Jan 29, 2021
… stocks may be discussed in social media, news aggregators, investment research websites, online investment newsletters, ratings websites, message boards, … however, following the crowd may lead to significant investment losses. Retail investors should understand that …
Jan 26, 2021
… would consider the information important in making an investment decision. Companies typically provide a number of …
Jan 22, 2021
… intended for prepaid tuition plans or the CollegeSure® CD investment option available in some education savings plans. …
Jan 15, 2021
… For more on getting started investing, such as how investment products and the markets work, check out … low fees, and diversification . With the TSP, select an investment strategy that makes sense given your time horizon … (when you’ll need the money) and risk tolerance (how much investment risk you’re willing to take on). If you are under …
Jan 5, 2021
… explains the key differences between broker-dealers and investment advisers. … … Choosing a Financial Professional …
Dec 14, 2020
… uptick in tips, complaints, and referrals involving investment scams. The SEC’s Office of Investor Education and … to protect themselves and others from becoming victims of investment fraud. Fraudsters use times of uncertainty and … as the current COVID-19 pandemic, to lure victims into investment scams. Below are tips to help you recognize and …
Dec 3, 2020
… A closed-end fund, legally known as a closed-end investment company, is one of three basic types of investment companies The two other types of investment companies are open-end funds (usually mutual funds …