Investor Newsletter


July 11, 2018

Investor Education

New NFA Investor Resources

A core element of NFA's mission is to protect investors by providing tools and resources to help them understand the potential risks that come with investments and conduct due diligence. NFA recently released two publications that provide investors with a better understanding of NFA and its regulatory responsibilities, as well as education on protecting themselves against scams.

About NFA: About NFA provides an overview of NFA's:

  • Registration process and regulatory structure;
  • Rulemaking and enforcement responsibilities;
  • Member education and investor protection initiatives; and
  • Market regulation services.

Scams and Swindles: Scams and Swindles describes how investors can protect themselves against fraudulent scams. No matter how lucrative an investment opportunity appears to be, it is important to be cautious. Read Scams and Swindles to learn more about:

  • How scammers reach their victims;
  • Common characteristics and types of investment fraud;
  • The importance of due diligence;
  • Questions to ask before opening an account; and
  • NFA resources.

SEC Tries to Scam ICO Investors to Show Them How Easy It Is

The Securities and Exchange Commission (SEC) recently launched a fake initial coin offering (ICO) to educate investors on the pitfalls of too-good-to-be-true ventures. The webpage, Howey Coins, is the SEC’s latest attempt to demonstrate to the investing public that ICOs—in which companies sell digital tokens that can eventually be redeemed for goods or services—are highly susceptible to fraud.

True Fraud Stories: The Truth Behind Binary Options Fraud

The Commodity Futures Trading Commission (CFTC) recently issued a press release highlighting The Truth Behind Binary Options Fraud, the second installment of the CFTC's True Fraud Stories. This series of videos provides investors with a look at the tactics fraudsters use to take advantage of an investor's money and real examples of investors losing their money to fraudulent financial schemes.

Upcoming Investor Events

Military Consumer Month

July is Military Consumer Month. Military Consumer Month is an initiative to empower active duty and retired service members, military families, veterans and civilians in the military community. The Federal Trade Commission partners with a number of organizations, including NFA, to provide military consumers with financial education materials, in order to make better-informed decisions.

Chicago Traders Expo 2018

This year, NFA is participating in the first Chicago Traders Expo taking place at the Chicago Hyatt McCormick Place from Sunday, July 22 to Tuesday, July 24.

The Traders Expo offers industry professionals an opportunity to meet with, learn from, and ask specific questions to investment experts from around the world.

Attendees are welcome to stop by NFA's booth, ask questions, and pick up NFA's educational resources.