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Investor Newsletter

November 13, 2025

Investor Education

Webinar: Deconstructing to Disrupt Fraud—A Live Webinar Featuring Professor Arda Akartuna

World Investor Week (WIW) is a week-long, global campaign promoted by the International Organization of Securities Commissions (IOSCO) to raise awareness about the importance of investor education and protection. The ninth annual WIW took place from Monday, October 6 through Sunday, October 12.

As part of WIW, NFA, the Financial Industry Regulatory Authority (FINRA) and the Commodity Futures Trading Commission (CFTC) held a webinar entitled Deconstructing to Disrupt Fraud—A Live Webinar Featuring Professor Arda Akartuna on October 7. This webinar covered the key messages of WIW, including:

Staying informed about the role of AI in investment platforms and products, and consider how it may influence recommendations or decisions
Conducting due diligence when considering investments
The importance of working with regulated entities; and
Recognizing the warning signs of investment fraud.

Investor Bulletin: World Investor Week 2025

Emerging technologies and innovation allow investors an unprecedented array of choices and opportunities to grow wealth and financial security through investing. Consequently, fraudulent investment schemes—including relationship investment scams—have affected investors worldwide, and the public should be vigilant against fraud and scams perpetrated by bad actors taking advantage of this period of rapid innovation.

FINRA, the North American Securities Administrators Association (NASAA), the Securities Investor Protection Corporation (SIPC) and NFA published an Investor Bulletin offering investors tips to increase their resilience when using emerging technologies.

NFA Investor Advisory—Conducting Due Diligence

Performing due diligence is the process of investigating and verifying information about an investment opportunity, professional or firm. Conducting research and identifying potential risks and red flags before making investment decisions—especially those involving new financial technologies, tools or products—can prevent exposure to potential frauds and scams. NFA's latest Investor Advisory details how the public can conduct due diligence and provides resources to help them do so.

Investor Protection

Investor Alert: SEC Impersonators May Lure Investors into Scams Through Social Media or Text Messages

The SEC’s Office of Investor Education and Advocacy (OIEA) warns that fraudsters may impersonate the SEC—or SEC officials or employees—on social media or in text messages to solicit scams. The SEC's recent Investor Alert details how the scheme works, including how scammers attempt to legitimize their credibility, and how the public can avoid being defrauded.

Additionally, read NFA's Investor Advisory about scams perpetrated by fraudsters posing as NFA staff or agents. NFA reminds investors that NFA staff will never solicit payment or fees from investors for any reason.

Information courtesy of the SEC

Steps Older Adults Can Take to Reduce Fraud Risk (FINRA Investor Insight)

Older adults, who have had more time to accumulate wealth, are at an increased risk of being targeted by some fraudsters—and of losing more money per fraud incident. In a recent Investor Insights post, FINRA describes the common behaviors and characteristics associated with an increased potential for fraud victimization and how to reduce these risk factors.

Information courtesy of FINRA