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FINRA Investor News

August 2, 2007


We Have a New Name!

On July 30, 2007, NASD announced that it has commenced operations as the Financial Industry Regulatory Authority (FINRA), the self-regulatory organization formed by the consolidation of NASD and NYSE Member Regulation. The organization will serve as the largest non-governmental regulatory organization for all securities brokers and dealers doing business with the public in the United States. FINRA will touch virtually every aspect of the securities business—from registering and educating all industry participants to examining securities firms; writing rules; enforcing rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms.

As an extension of FINRA's mission to protect investors and uphold the integrity of the markets, the FINRA Investor Education Foundation, formerly known as the NASD Investor Education Foundation, will continue to fund innovative research and educational projects aimed at segments of the investing public who could benefit from additional resources. The FINRA Foundation will be the largest foundation in the U.S. dedicated to investor education.

While we have a new name, our commitment to investor protection and market integrity remains unchanged. FINRA (www.finra.org) and the FINRA Foundation (www.finrafoundation.org) will continue to emphasize the importance of investor education, providing investors with the unbiased information and tools they need to make smart financial decisions for their future.


Investor Protection

Fraud Fighting 101: Smart Tips for Older Investors

Even if you have never been subjected to an investment fraudster's sales pitch, you probably know someone who has. Following the legendary Willie Sutton principle, fraudsters tend to go "where the money is"—and that means targeting older Americans who are nearing or already in retirement. Learn how to recognize the persuasion tactics fraudsters use and to protect yourself and your loved ones from fraud.

Read the Alert

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Smart Investing Series

Smart Saving for College

With the start of a new academic year drawing closer, parents and grandparents often turn their thoughts to the cost of college. And, as college costs rise, saving for college becomes even more important. Smart Saving for College explains 529 Plans and other tax-advantaged alternatives available for saving for college, detailing the advantages, disadvantages and costs of these options and listing resources families can use to obtain more information on saving for college.

Visit Smart Saving for College

Past Issues of Investor News Available

In response to numerous requests, previous issues of Investor News are now available on our Web site.

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