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The SEC Office of Investor Education and Advocacy initiated a public service campaign in February 2016 focused on helping individuals protect themselves from investment fraud. The campaign reminds investors of the importance of checking the background and registration status of investment More information...
Audience: Individual
Date: 10/11/2016
Federal or state securities laws require brokers, investment advisers, and their firms to be licensed or registered, and to make important information public. But it's up to you to find that information and use it to protect your investment dollars. The good news is that this information is easy to More information...
Audience: Individual
Type of Resource: Website
Date: 4/5/2013
Explains the difference between gold bullion and gold bullion coins. Offers tips to help people investigate before they invest, and lists tip-offs to rip-offs. Includes a glossary and resources for additional information. More information...
Audience: Individual
Type of Resource: Fact Sheet
Date: 2/22/2013
The SEC offers online publications that help seniors understand the vast array of investment products and how to avoid investment fraud. In-person presentations explain the red flags of investment fraud and how to check the background of investment professionals. More information...
Audience: Individual
Date: 10/11/2016
CFTC SmartCheck is a campaign of the U.S. Commodity Futures Trading Commission (CFTC). It connects investors to tools to check the registration, license, and disciplinary history of certain financial professionals. This collection of tools allows the responsible investor to confirm the credentials More information...
Audience: Individual
Type of Resource: Guidance Tools Website
Tags: Investor, Education, Investor Education, Investing, Investment,
Date: 11/25/2014
Explains various gold products and investments, and offers tips to help people investigate before they invest. Offers resources for additional information. More information...
Audience: Individual
Type of Resource: Fact Sheet
Date: 2/22/2013
A SIMPLE (Savings Incentive Match Plan for Employees of Small Employers) IRA plan offers advantages to small businesses with 100 or fewer employees and provides a simplified way to contribute toward retirement. This publication highlights the advantages of a SIMPLE IRA plan and how to set up and More information...
Audience: Individual
Type of Resource: Brochure
Tags: SIMPLE-IRA, ERISA, tax qualification, small business, contributions, fiduciary, trustee
Date: 8/9/2013
Many workers don't realize how important it is to get an early start on saving for retirement. This Department of Labor Employee Benefits Security Administration video provides information for workers about the importance of saving for retirement and how to get started. The video also has links to More information...
Audience: Individual
Type of Resource: Video Website
Tags: longevity risk, retirement risk, tax-deferred retirement account, ERISA, mid-career, new entrants, new job, college seniors
Date: 8/9/2013
In consultation with the U.S. Department of the Treasury and President Bush's Advisory Council on Financial Literacy, the FINRA Investor Education Foundation commissioned the first national study of the financial capability of American adults in 2009. The overarching research objectives of the More information...
Audience: Individual Researcher
Type of Resource: Website
Date: 6/5/2013
Explains how people who are thinking about buying collectible coins as an investment can research coins, the graders who assess them, and the dealers who sell them. Lists tip-offs to rip-offs. Includes a glossary and resources for additional information. More information...
Audience: Individual
Type of Resource: Fact Sheet
Date: 2/22/2013