SEC Warns of Government Impersonators

U.S. Securities and Exchange Commission (SEC) staff is aware of continuing fraudulent solicitations that purport to be affiliated with or sponsored by the Securities and Exchange Commission, including scams that make phony claims of endorsement by senior SEC officials.

The SEC does not endorse investment offers, assist in the purchase or sale of securities, or participate in money transfers. SEC staff will not, for example, contact individuals by telephone or email for purposes of: Continue Reading >

5 questions to ask your brokerage firm about cybersecurity

Brokerage firm information technology (IT) plays a critical role in the securities industry, and firms have been working hard to safeguard against cyberattacks. You, the account holder, also have a role to play — and National Consumer Protection Week is a good time to take action.

Asking your firm these questions can help you better understand a firm’s cybersecurity activities and policies as they relate to you, the customer: Continue Reading >

Blog Topic: 
Identity Theft

Money Smart in 2016

This year, National Futures Association (NFA) will be celebrating its 10th year of participation in the Federal Reserve Bank of Chicago's Money Smart Week. NFA has participated in more than 15 Money Smart Week events since first joining the initiative in 2006. Continue Reading >