Oct 19, 2020
… regardless of the ups and downs in the market. This investment strategy can help you manage risk by following a consistent pattern of adding new money to your investment over a long period of time. By making regular … same amount of money each time, you will buy more of an investment when its price is low and less of the investment …
Oct 9, 2020
… time it takes to develop a financial plan, but don’t sell investment products; some are paid by commissions on the … about the professional. Financial planners who give investment advice to their clients must register with the SEC … state securities regulator. For more information about investment advisers, read our publication entitled …
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, …