May 2, 2025
… Unlicensed, unregistered persons commit much of the investment fraud in the United States. Always check the … Disclosure (IAPD) website. There you can find out if your investment professional and his/her firm is licensed with the … You can also learn about any disciplinary history the investment professional or his/her firm may have. If …
May 2, 2025
… Investing Quiz - Relationship Investment Scams … … Relationship Investment Scams …
Apr 29, 2025
… ETFs, which must register with the SEC as open-end investment companies (like mutual funds) or unit investment trusts under the Investment Company Act of 1940 (the Act). It does not address …
Apr 28, 2025
… and risk tolerance can give you an idea of the best investment products for you. Third, consider an investment portfolio that includes a diverse set of assets , … better prepare you for market changes. Avoid unsolicited investment advice and be sure to conduct your own research on …
Apr 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 …
Apr 17, 2025
… funds (ETFs). They hold a mix of stock, bond, and other investment funds. Target date funds are designed to be … plans. Some 401(k) plans use these funds as the default investment for plan participants who have not selected their …
Apr 16, 2025
… Maybe … but it could also be the start of a relationship investment scam. How the Scam Works In this type of scam, a … No matter how trustworthy someone might seem, don’t make investment decisions based on the advice of anyone who makes … on your “investment” on what looks like a legitimate investment app or website. You may even be able to withdraw …
Apr 15, 2025
… with the information and tools they need to make sound investment decisions. OIEA promotes this mission through two … investors about different permutations of fraud, new investment products, and other topical issues. OIEA’s … thousands of investors who contact the SEC each year with investment-related complaints and questions. Investors seek …
Apr 15, 2025
… warns investors about the devastating impact relationship investment scams can have on their financial future. It … from unknown senders, and to be wary of unsolicited investment opportunities no matter how much you trust the … Investor.gov/relationshipscams , about how relationship investment scams work, what investors should look out for, …
Apr 11, 2025
… of a grade. Generally, credit ratings distinguish between investment grade and non-investment grade. For example, a credit rating agency may assign a "triple A" credit rating as its top "investment grade" rating, and a "double B" credit rating or …