Alerts

One of FINRA's main goals is to protect the investing public. These alerts provide you with information to help you avoid problems in today’s complex world of investing—and to help protect your and your family from investment scams.

Soldier Completing Paperwork

Automated Investment Tools

Automated investment tools may offer clear benefits—including low cost, ease of use, and broad access. But it is important to understand their risks and limitations before using them.

Bond Liquidity—Factors to Consider and Questions to Ask New Graphic

FINRA is issuing this alert to educate investors about bond liquidity, and the potential for decreased liquidity and investment losses for those who sell their bonds before maturity at a time of market stress.

Plan for Transition: What You Should Know About the Transfer of Brokerage Account Assets on Death

FINRA is issuing this alert to inform brokerage account holders, family members and other beneficiaries about the value of preparing for the inevitable, and the general process firms follow when an account holder passes away. We also provide tips for making the transfer process as efficient and trouble-free as possible for account holders and also for heirs and beneficiaries.

 

Alerts From Other Organizations

Check out investor alerts from other regulators, agencies and organizations.

FINRA Investor Alerts

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529 Plans

Annuities and Insurance

Bonds

Frauds and Scams

Margin and Borrowing

Money Management

Mutual Funds & ETFs

Private Offerings

Promissory Notes

Real Estate Investment Trusts (REITS)

Retirement Accounts

Trading Securities