Investor Newsletter


January 21, 2021

Investor Education

NFA’s Online Investor Resources

NFA offers a variety of online investor education materials intended to arm the public with the skills needed to protect themselves from fraud and safely participate in the derivatives markets. Investors can find the following educational materials, along with other services, on NFA’s website:

  • Investor Education & Resources—Access materials that explain the purpose of the derivatives industry and the role NFA plays in ensuring market integrity.
  • Webinars—View the latest free webinar hosted by the CFTC and NFA entitled, Investor Education: Understanding the Investing World and How to Protect Yourself.
  • BASIC—Search a comprehensive database of CFTC registration, NFA membership, disciplinary and financial information regarding futures, retail forex firms and salespeople.
  • Arbitration services—Learn about NFA’s affordable and efficient arbitration program that helps customers and Members resolve futures-related and forex-related disputes.

Learn more about the Derivatives Markets

Want to expand your knowledge of the derivatives markets? Futures Fundamentals is a one-stop educational resource designed to simplify and explain complex market topics. Through interactive features and rich content, the website explains the role of futures markets in everyday life and provides information on the derivatives industry as a whole. Futures Fundamentals is a collective effort that is made possible by a number of contributing organizations across the futures industry, including NFA, CME Group, FIA, and the Institute for Financial Markets (IFM).

Investor Protection

Investment Scam Complaints on the Rise – Investor Alert

Fraudsters use times of uncertainty and change, such as the ongoing COVID-19 pandemic, to lure victims into investment scams. The SEC’s Office of Investor Education and Advocacy urges investors to be on high alert in order to protect themselves and others from becoming victims of investment fraud. Read this Investor Alert to learn tips for recognizing and avoiding frauds like Ponzi schemes, fake CD scams, bogus stock promotions and community-based financial scams.

Information courtesy of the SEC

Customer Advisory: Beware of Gold and Silver Schemes Designed to Drain Your Retirement Savings

The CFTC advises the public not to take cash from their retirement plans under relaxed distribution rules provided in the Coronavirus Aid, Relief, and Economic Security Act (CARES Act) to speculate or invest in gold, silver, or other precious metals without first consulting licensed or registered financial, tax or legal advisors. Read the CFTC's Customer Advisory for insight on what investors should know when considering an investment in precious metals.

Information courtesy of the CFTC

Operation Income Illusion Cracks Down on Deceptive Income Schemes Nationwide

The Federal Trade Commission, along with the CFTC and 18 other law enforcement partners, recently announced a nationwide crackdown on scams that target consumers with fake promises of income and financial independence that have no basis in reality. Called “Operation Income Illusion,” the joint initiative encompasses cases from various federal, state and local agencies, including 32 actions from the CFTC’s Division of Enforcement. In addition to law enforcement actions, the initiative also seeks to educate consumers on a variety of income-based scams.

Information courtesy of the CFTC