FINRA Staff

FINRA Staff

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Recent articles

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SEC Regulation Best Interest and Form CRS: What You Need to Know

Here's what you need to know about the new SEC rules designed to help everyday investors make decisions and work with investment professionals.


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In a Search for Safety, Be Alert for Imposters

When the market is volatile, investing scams abound. Keep these 3 FINRA-guided tips in mind to avoid being duped by fraudsters posing as reputable, name-recognized firms.


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COVID-19 Early Withdrawals

FINRA, NASAA, and SEC Staff offer a joint warning to investors about promoters targeting retirement accounts, and provide a few key considerations for investors thinking of using 401(k) withdrawals or loans to purchase securities.


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3 Things to Know About Stablecoins

Learn the basics of this type of digital asset.


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Fraud and Your Investment Accounts During COVID-19 Pandemic

Protect your accounts during the pandemic (and beyond) with these 4 top tips.

CARES Act 2020: Retirement Fund Access and Student Loan Relief

Saving for retirement or paying off student loans? Check out four key facts you need to know about the CARES Act.


Fraud and Coronavirus (COVID-19)

Use these tips and resources to protect yourself from fraud related to the COVID-19 pandemic.


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Key Terms for Tough Times: The Vocabulary of Stressed Markets

When the markets are turbulent, make sure you're current with the definitions of these financial terms.


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Financial Peace of Mind in the Age of Coronavirus

When it feels like so many things are out of our control, sometimes the best thing to do is focus on the things that are. Here are 5 questions to ask yourself to help feel more financial security right now.


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Consider Adding a Trusted Contact to Your Brokerage Account

FINRA and the SEC's Office of Investor Education and Advocacy are urging investors to take this step.

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Investor Tips for Turbulent Markets

Keep calm and follow these five steps.


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Keep the Harmony Alive: Discussing Investing with Your Partner

Begin with a conversation. It's important for each partner to understand the other person's tolerance for risk.


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What Do Investors Need To Know About the Secure Act?

If you have questions about how the SECURE Act changes may impact you and your financial situation, speak to your financial or tax professional.


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Am I a Pattern Day Trader?

Pattern day traders must maintain minimum equity of $25,000 in their margin accounts. This required minimum equity must be in your account prior to engaging in any day-trading activities.


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It Pays to Pay Attention to Your Brokerage Account Statements

You should read your brokerage account statements regularly. Here's why.

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ESG Investing: Clearing the Air on Social Impact Financial Products

Calling an investment "green" can be subjective, which opens the door to the potential exploitation of the label.


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These Behaviors Make You a Scam Target

What separates victims from non-victims? "The path to victimization begins with engagement," says FINRA Foundation President Gerri Walsh.


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Financial Well-Being of U.S. Military Veterans Improving, Surpassing Non-Veterans

Veterans are expressing higher financial well-being, lower levels of financial anxiety, and a higher likelihood of having a will.


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6 Tips for Managing Your Investments Through Divorce

There are a number of reasons you may want to update your beneficiary designations on your investment accounts. Divorce might be one of them.


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Cash Accounts: What They Are and How to Avoid Problems

Understanding how to use a margin account from your brokerage.