Investor Newsletter


September 25, 2018

Upcoming Investor Events

IOSCO's World Investor Week

Investor education is a worldwide initiative. NFA is pleased to announce its participation in the International Organization of Securities Commission's (IOSCO) second annual World Investor Week (WIW). WIW is a week-long, global campaign promoted by IOSCO to raise awareness about the importance of investor education and protection.

WIW takes place from Monday, October 1 through Sunday, October 7. IOSCO members on six continents will provide a range of activities, such as investor-focused services, educational workshops and conferences. NFA will conduct a free webinar entitled, Investor protection: A worldwide impact starts with you, on Tuesday, October 2, 2018 at 10:00 a.m. CT/11:00 a.m. ET. NFA will be joined by representatives from the CFTC, SEC and FINRA, in an effort to educate investors on the Key Messages of WIW, which include:

  • Verifying investment professionals are licensed;
  • Conducting research on products before investing;
  • Understanding the risks that exist in all investments; and
  • Avoiding "get rich quick" and "can't lose" schemes.

October: National Cyber Security Awareness Month

October 2018 marks the fifteenth year of National Cyber Security Awareness Month (NCSAM). This initiative was created in an effort to ensure consumers have access to the resources necessary to stay secure online.

Cybersecurity is a growing concern worldwide. Throughout October, the organizers of NCSAM will highlight a series of topics each week to inform consumers of available resources and tools, as well as simple steps that they can take to better protect themselves against cyber threats. Topics include: 

  • Week 1: Oct. 1­–5: Make Your Home a Haven for Online Safety
  • Week 2: Oct. 8–12: Millions of Rewarding Jobs: Educating for a Career in Cybersecurity
  • Week 3: Oct. 15–19: It’s Everyone’s Job to Ensure Online Safety at Work
  • Week 4: Oct. 22–26: Safeguarding the Nation’s Critical Infrastructure   

Las Vegas AAII Investor Conference

NFA is dedicated to year-round investor protection and education initiatives. In addition to WIW, NFA will be exhibiting at the American Association of Individual Investors (AAII) Investor Conference.

The 2018 AAII Investor Conference will take place Friday, October 26 through Sunday, October 28 at the Paris Las Vegas Hotel in Las Vegas, Nevada. This conference provides investors with the opportunity to fine-tune their investing strategies and master the latest concepts by engaging with industry professionals.

NFA will provide attendees with tools to help them conduct due diligence, identify warning signs of investment fraud and learn the warning signs of scams.

Investor Education

NFA Brochure: Fraudes y Estafas

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 Scams and Swindles, a publication that educates investors on how to protect themselves against scams. NFA is now offering this publication in Spanish.

Fraudes y Estafas: Esta guía describe las características comunes de las estafas de inversión y describe los pasos que las personas pueden seguir para evitarlas.

FINRA Investor Alert: Initial Coin Offerings

FINRA recently issued an investor alert to highlight what investors need to know regarding initial coin offerings (ICO), as well as time-tested tips that will assist them in making educated decisions about investing in new products or markets.

The alert also covers the potential risks involved with investing in digital assets.