Jul 23, 2025
… Bulletin to educate investors about how fees you pay for investment services and products can impact the value of your portfolio. Fees and Expenses Reduce Your Investment Returns As with anything you buy, there are fees and expenses associated with investment products and services. These fees may seem small, …
Jul 23, 2025
… can be found here . For any complaint relating to your investment or investment professional, you can submit your complaint with … Applications Exchange Act Exemptive Notices and Orders Investment Advisers Act Applications, Notices and Orders …
Jul 22, 2025
… Because of the power of compounding (when your original investment earns a return, and then, over time, your future … digital coins and tokens. If you are considering an investment opportunity involving crypto assets, you can find … of missing out (FOMO) to lure investors into “crypto” investment scams . Always Check Out an Investment …
Jul 18, 2025
… you buy and may stretch your debt over many years. No investment will give you guaranteed returns to outweigh the … Diversify to lower the risk of investing. When choosing an investment option within your 401(k), IRA or any other investment, a diversified fund that spreads your investment …
Jul 15, 2025
… and Advocacy (OIEA) urges investors to be vigilant for investment scams related to natural disasters, including the … as floods, wildfires, and hurricanes to lure victims into investment scams. These frauds may directly target … money from insurance companies or other sources. These investment frauds can take many forms. For example, …
Jul 3, 2025
… Older Investor If you plan to work with a broker or investment adviser, check them out first to make sure they …
Jun 25, 2025
… a plan, it’s important to consider your risk tolerance, investment options, fees/costs involved in investing, your … money into an emergency fund. As you think about your investment options, you might want to consider investing in … You pick a fund with the right target date based on your investment goals and fund managers make all of the decisions …
Jun 25, 2025
… important to educate yourself about the different kinds of investment products (stocks, bonds, mutual funds, etc.) and … and risks involved with each. Know that a diversified investment portfolio with a mix of different kinds of … during the ups and downs of the market. When creating an investment plan, stick with it and plan for the long-term. …
Jun 20, 2025
… organizations (SROs) such as FINRA require individual investment professionals to register as broker-dealer … representatives (also called registered representatives), investment adviser representatives, or sole proprietor investment advisory firms. Professional designations, on the …
Jun 18, 2025
… its nature, investing in an IPO is a risky and speculative investment. Brokerage firms must consider if the IPO is … appropriate for you in light of your income and net worth, investment objectives, other securities holdings, risk … not sell to you IPO shares unless it has determined the investment is suitable for you. Brokerage firms also may sell …