The Financial Industry Regulatory Authority (FINRA) publishes a best practices guide for investors that describes common investor problems and how they can be avoided. These are the most common complaints FINRA’s Investor Complaint Center receives, and recommendations for avoiding them.…
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How to Avoid Common Investor Problems
The Financial Industry Regulatory Authority (FINRA) publishes a best practices guide for investors that describes common investor problems and how they can be avoided. These are the most common complaints FINRA’s Investor Complaint Center receives, and recommendations for avoiding them.…
How to Avoid Common Investor Problems
The Financial Industry Regulatory Authority (FINRA) has published a best practices guide for investors that describes common investor problems and how they can be avoided. These are the most common complaints FINRA’s Investor Complaint Center receives, and recommendations for avoiding…
FINRA Issues Investor Alert on Private Placements
A new investor alert has been issued by the Financial Industry Regulatory Authority. The alert warns investors that private placements are risky and can tie up funds for a significant period of time. A private placement is an offering of…
FINRA Warns of Brokerage Firm Imposters
An investor alert was issued by the Financial Industry Regulatory Authority warning of calls from scammers falsely claiming to represent a well-known brokerage firm. In this scam, the imposters are claiming to be offering certificates of deposit with high yields,…
FINRA and BBB Take Action Against Investment Scams
The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation has joined forces with the Better Business Bureau (BBB) to launch a new website, BBB Smart Investing, which is intended to help investors avoid unlicensed brokers and fraudulent investment schemes. The…
Tagged with: Ask Check, BBB, Canada, Canadian Anti Fraud Centre, FINRA, North America, United States
FINRA Took Significant Action in 2012
The Financial Industry Regulatory Authority (FINRA), the independent regulator of securities firms, accomplished much in 2012 in the areas of detecting fraud, developing cross-market surveillance and improving transparency in securities markets. The regulator also assessed $68 million in fines and…
FINRA Rule 5123 Regarding Notice Filings for Private Placements Becomes Effective December 3, 2012
FINRA Rule 5123 (“Rule 5123” or the “Rule”) becomes effective on December 3, 2012 and will apply prospectively to private placements that begin selling efforts on or after this date. Rule 5123 requires a member firm of the Financial Industry…
Tagged with: FINRA, Investment Company Act, Securities Act, Securities Act Rule, Securities Exchange Act
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