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Investing Resources

Help text on computer screenConsumer Protection and Assistance

The U. S. Securities and Exchange Commission (SEC) is charged with protecting investors as well as maintaining and promoting a market that can be trusted. There are many different types of publications related to investing on its website

Additionally, there are clubs, organizations and agencies dedicated to helping investors. 

Investment Clubs

In investment clubs, people pool their money to make investments. Members make collective decisions to buy or sell, based on studying different investments. 

Although they usually are organized as partnerships, each investment club decides whether to register and comply with securities laws. There may be required buy-in amounts to be part of the club. To learn more about investment clubs in your area, visit the website for BetterInvesting.org

Investor.gov

Investor.gov is a website sponsored by the SEC’s Office of Investor Education and Advocacy. It provides online resources to help you become a better investor and avoid fraud.

Watch this video from Investor.gov to learn more about investing resources available from the U.S. Securities and Exchange Commission. Click here to watch on YouTube.

 

Source: This video is content of the copyright holder. Any reference to a specific company, commercial product, process or service does not constitute or imply an endorsement or recommendation by Smart About Money.

Although geared toward seniors, Investor.gov offers a guide to protect yourself against investment fraud that can be helpful to anyone. 

Financial Industry Regulatory Authority (FINRA)

FINRA provides investor protection and helps to regulate the securities industry. By bringing disciplinary actions and assessing fines against unscrupulous brokers and firms, FINRA helps bring integrity to the investment markets. 

If you need to file a complaint against a sales person, brokerage firm or other securities-related professional, you will want to go to FINRA. 

Watch this video from FINRA to learn about its role regulating the stock market and securities industry. Click here to watch on YouTube.

 

Source: This video is content of the copyright holder. Any reference to a specific company, commercial product, process or service does not constitute or imply an endorsement or recommendation by Smart About Money.

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