FINRA Investor Alerts

  • Fake Online Job Interviews: Terminate Before It’s Too Late July 6, 2017
    Some companies and recruiters use online video call technologies such as Skype as a convenient and cost-effective way to interview job applicants. Unfortunately, fraudsters are using them too, and they aren't looking to offer you a job. FINRA is issuing this Alert to warn the public that individuals claiming to be involved in the hiring process for legi […]
  • Updated: Crowdfunding and the JOBS Act: What Investors Should Know May 17, 2017
    "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. This advisory is designed to help the public understand the crowdfunding rules and processes so they ca […]
  • Binary Options Follow-Up Schemes: Don’t Lose Money Twice March 16, 2017
    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.
  • Updated: Duration—What an Interest Rate Hike Could Do to Your Bond Portfolio March 6, 2017
    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 likely to fluctuate when there is an up or down movement in interest rates. The higher the duration number, the mor […]
  • Updated: Customer Advisory Centers—What Investors Need to Know January 19, 2017
    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 other financial incentives for doing so. These centers have become common and, in some instances, can be sales-orie […]