Investor Newsletter

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September 27, 2019


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) third 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, September 30 through Sunday, October 6, 2019. 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 Education: Your First Line of Defense against Fraud, on Friday, October 4, 2019 at 11:00 a.m. CT/12:00 p.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 2019 marks the sixteenth year of National Cyber Security Awareness Month (NCSAM). Since its inception under leadership from the U.S. Department of Homeland Security and the National Cyber Security Alliance, the initiative continues to provide consumers with the resources they need to stay secure online.

NCSAM's theme for 2019 is "Own IT. Secure IT. Protect IT." Throughout the month of October, organizations across the country will host webinars and workshops to educate consumers on cybersecurity, personal accountability and proactive behavior in digital privacy, security best practices, and cybersecurity careers.


Orlando 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 in October.

The 2019 AAII Investor Conference will take place Friday, October 25 through Sunday, October 27 at the Omni Orlando Resort at Championsgate in Orlando, Florida. This conference provides investors with the opportunity to fine-tune their investment strategies by engaging with industry professionals.

NFA will be in the exhibit hall providing attendees with tools to help them conduct due diligence and identify warning signs of investment fraud and scams.

Additionally, NFA will present A BASIC Understanding of Due Diligence at the conference, a presentation discussing NFA's role in protecting investors and the integrity of the markets, as well as how to navigate NFA's BASIC system to conduct due diligence. The presentation will be held on Sunday, October 27 at 9:00 a.m. ET.


Investor Education

NFA's Redesigned BASIC System

Last month, NFA launched its redesigned BASIC system, a free tool that NFA Members and investors can use to research the background of derivatives industry professionals. One of the most frequently-used systems on NFA's website, BASIC contains current and historical CFTC registration and NFA membership information, FCM Members' financial data and NFA, CFTC and Exchange-contributed regulatory actions, among other information. The redesigned BASIC system was developed based on feedback from NFA Members, investors and other BASIC users and incorporates enhanced search functionality, mobile responsiveness and a modern, streamlined user interface.

FINRA Investor Alert: Beware of Stock Fraud in the Wake of Hurricanes

FINRA recently issued an investor alert reminding consumers that investment scams often surface in the wake of major weather events, such as the recent Hurricane Dorian. Common investment scams include stocks associated with clean-up or rebuilding and breakthroughs in science and technology that purport to address current and future flood-related issues.

The alert explains how to spot and protect yourself from potential natural disaster-related investment scams.