Month: April 2015
The Office of Investor Education and Advocacy of the United States Securities and Exchange Commission recently issued an Investor Bulletin entitled, “15 Investment Tips for 2015.” The Bulletin highlights a number of suggestions and warnings, including the following: Check the background of your investment professional – it’s easy and free. For investment advisors: For FINRA’s […]Read Post
On February 3, 2015, FINRA issued an investor alert, entitled “Cybersecurity and Your Brokerage Firm,” outlining the essential questions investors should ask that brokerage firms regarding the safeguarding of their personal information and assets. The alert cautions investors to be aware of security steps associated with password and PIN numbers and the need to safeguard […]Read Post
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