Mar 10, 2021
… and Advocacy (OIEA) cautions investors not to make investment decisions related to SPACs based solely on … and services. Sometimes they are even involved in investment opportunities such as special purpose acquisition … celebrity involvement in a SPAC does not mean that the investment in a particular SPAC or SPACs generally is …
Feb 26, 2021
… hear about these funds from financial professionals, from investment-focused online sites, or even from popular media. … broad discretion in how they apply ESG factors to their investment or governance processes. For example, some funds … ratio, to seek to enhance performance and manage investment risks. Other funds focus on ESG practices because …
Feb 9, 2021
… if they are isolated and do not have anyone to discuss an investment proposal with. As a result, those who engaged … their deceptive intentions. How to Protect Yourself from Investment Fraud Ask for input from others. Scammers try to … or members of the public. Make sure you understand the investment, the risk attached, and the company’s history. And …
Feb 4, 2021
… You can allocate these payments to one or more indexed investment options. The insurance company credits your account with a return that is based on the indexed investment option’s return. During the annuity phase, the … These indexed annuities can expose investors to investment losses. If the indexed annuity is a security, …
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. …