Oct 5, 2020
… and protection. From October 5-11, 2020, investors, investment professionals, teachers, parents, researchers, and … Every investor is different, so when you’re creating your investment plan, it’s important to identify your unique … but you can take steps to mitigate their impact on your investment portfolio. One of the best ways to manage the …
Sep 29, 2020
… and the wildfires on the West Coast, to lure victims into investment scams. These scams can take many forms. Bad … Be skeptical if you are approached by somebody touting an investment opportunity. When considering any investment, one of the best ways to avoid investment fraud is …
Sep 25, 2020
… are legally classified as closed-end funds , a type of investment company, but they have some distinctive features … limit a shareholder’s ability to liquidate their investment. Investment Opportunities: Because shareholders can only sell …
Sep 25, 2020
… funds? A closed-end fund is one of three main types of investment companies that the Securities and Exchange Commission regulates. The two other main types of investment companies are open-end funds (including mutual funds and exchange-traded funds or ETFs ) and unit investment trusts (UITs). There are several types of …
Sep 17, 2020
… and do extensive due diligence. If someone offers you investment products or services, such as offering to act as a …
Aug 6, 2020
… Form CRS and Form ADV Part 3) that broker-dealers and investment advisers are required to provide when they offer … the firm monitors client investment, a description of the investment authority the firm accepts, a description of … a recommendation as your broker-dealer or acts as your investment adviser, it has to act in your best interest and …
Aug 6, 2020
… and easy search tool to help you check out brokers and investment advisers . Always research an investment professional—including confirming they are … with them. What is the search tool? The Check Out Your Investment Professional search tool uses the SEC’s IAPD …
Jul 31, 2020
… 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 … [1] These indexed annuities can expose investors to investment losses. If the indexed annuity is a security, …
Jul 14, 2020
… advertised. What’s general solicitation? You may see investment opportunities broadly advertised—or what federal … a seminar or dinner at a nice hotel to introduce you to an investment opportunity. You may receive a general … contact . Investors should remain vigilant even when an investment opportunity is broadly promoted. In SEC v. A …
Jun 17, 2020
… Here are questions that you can use when interviewing an investment professional. You can also use the conversation … summary. It’s important that you understand an investment, including its risks, before you buy it. If you are not getting that information from your broker or investment adviser, push for it, and if you don’t get it, …