September 17, 2009


The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for securities firms doing business in the U.S. It is not the regulatory function of FINRA, however, with which I would like to focus ... they also happen to be huge advocates for investors and consumer protection. FINRA believes that investor education is the key to protection. They argue that by utilizing "the Internet, the media and public forums, we help investors build their financial knowledge and provide them with essential tools to better understand the markets and basic principles of saving and investing." The FINRA Investor Education Foundation is the largest foundation in the U.S. focused on investor education.

- Host educational forums offering unbiased investor resources/tools.
- Inform of potential scams & actions taken against dishonest brokers.
- Provide resources/tools to help investors evaluate products & professionals.

Informational Resources.
- Frequently Asked Questions
- Investor Alerts (via e-mail)
- Investor Newsletters
- Investor Podcasts
- News Releases
- Understanding Financial Professional Designations

Investor Tools.
- 529 (College Savings) Plan Expense Analyzer
- BrokerCheck
- Investment Risk Meter
- Investment Scam Meter
- Investor Complaint Center
- Mutual Fund Analyzer