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JUN28
CEO Fraud

is a type of targeted attack. It commonly involves a cyber criminally pretending to be your boss, then tricking or fooling you into sending the criminal highly sensitive information or initiating a wire transfer. Be highly suspicious of any emails demanding immediate action and/or asking you to bypass any security procedures.

SAS Tip of the day
MAY16
Updated: Crowdfunding and the JOBS Act: What Investors Should Know

"Crowdfunding" generally refers to the use of the Internet by small businesses to raise capital through limited investments from a large number of investors. Under SEC rules, the general public can invest in capital raising by start-up companies...

Finra Alerts
MAR15
Binary Options Follow-Up Schemes: Don’t Lose Money Twice

FINRA is issuing this alert to warn anyone involved in binary options trading—specifically through unregistered non-U.S. companies offering binary options trading platforms or services—to be on guard for potential follow-up frauds.

Finra Alerts
MAR5
Updated: Duration—What an Interest Rate Hike Could Do to Your Bond Portfolio

If you own bonds or have money in a bond fund, there is a number you should know. It is called duration. Although stated in years, duration is not simply a measure of time. Instead, duration signals how much the price of your bond investment is...

Finra Alerts
JAN18
Updated: Customer Advisory Centers—What Investors Need to Know

This Investor Alert focuses on a type of call center called a customer advisory center. It is a center that is staffed by securities professionals who may provide financial planning services, sell securities products, and receive commissions or...

Finra Alerts
JAN2
Inherited IRAs—What You Need to Know

FINRA is issuing this alert to inform brokerage account holders, family members and other beneficiaries about inherited IRAs. We also provide tips for making the IRA inheritance process as efficient and trouble-free as possible.

Finra Alerts
NOV2016
Public Non-Traded REITs—Perform a Careful Review Before Investing

FINRA is reissuing this Alert because of concern—reflected in a recent enforcement action—that some investors may be the recipients of misleading information regarding certain public non-traded REITS. Some investors may also receive...

Finra Alerts
NOV2016
Binary Options: These All-Or-Nothing Options Are All-Too-Often Fraudulent

FINRA cautions investors who are considering binary options to be alert to potentially fraudulent schemes, and particularly wary of non-U.S. companies that offer binary options trading platforms.

Finra Alerts