Manage your Accounts

Stay informed on all the latest updates, suggestions and cautions issued by FINRA.

 Many financial scams involve unlicensed individuals selling unregistered investments—ranging from stocks, bonds, and oil or gas deals to fictitious instruments, such as prime bank investments. That's why it is particularly important to "Ask and Check" about investments and investment professionals before you invest. Regardless of your trust or ties, or prior dealings with the professional, do your homework. 

 Even if you have never been subjected to an investment fraudster’s sales pitch, you probably know someone who has. Following the legendary Willie Sutton principle, fraudsters tend to go "where the money is"—and that means targeting older Americans who are nearing or already in retirement. 

 Identity theft occurs when someone obtains your personal information and uses it to take your money or to commit fraud or other crimes. It's much more than an inconvenience—it can devastate your credit rating and derail financial security. Here's how you can protect yourself: 

 The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help individual investors protect their online investment accounts from fraud.  Investors should always take steps to safeguard their personal financial information (e.g., social security number, financial account numbers, phone number, e-mail address, or usernames and passwords for online financial accounts). These online security tips can help ensure that your online investment accounts remain secure.  

 The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with background information on 529 plans. Please also see our companion Bulletin for a few questions to consider before opening a 529 plan account. 

A 529 plan is a tax-advantaged savings plan designed to encourage saving for future education costs. 529 plans, legally known as "qualified tuition plans," are sponsored by states, state agencies, or educational institutions and are authorized by Section 529 of the Internal Revenue Code.