For Consumers

This postcard highlights FINRA BrokerCheck, a free tool to confirm whether investment professionals and firms are licensed. BrokerCheck helps consumers make informed choices about brokers and brokerage firms and provides easy access to investment adviser information...

Fighting Fraud 101 (FF101 National version) is a compact brochure from the FINRA Foundation, AARP and the U.S. Securities and Exchange Commission (SEC) offering tips to help Americans spot and avoid investment fraud and report issues concerning investment professionals or products.This publication is also available for download in PDF...

This 4x9 booklet from FINRA presents 11 quiz questions (and answers) to test consumers on a range of investing principles and terms.This publication is also available for download in PDF...

This 1 page (2-sided) consumer publication from FINRA reviews how to spot and avoid the red flags of investment scams and where to turn if a problem arises.This publication is also available for download in PDF...

This 1-page (2-sided) consumer publication from FINRA suggests steps to follow and questions to ask when hiring an investment professional or firm.This publication is also available for download in PDF...

This 4x9 booklet from FINRA provides tips for managing finances, personal finance resources and consumer protection considerations for consumers impacted by job loss or unexpected unemployment. This publication is also available for download in PDF...

This 4x9 booklet provides investors with information they need to identify and report a securities-related complaint to the FINRA Investor Complaint Program. You may also download a PDF of this publication or file a complaint online. ..

This 4x9 booklet provides Spanish-speaking investors with information they need to identify and report a securities-related complaint to the FINRA Investor Complaint Program.You may also download a PDF of this publication or file a complaint online. ..

Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. We strongly encourage investors to file their complaint via the online FINRA Investor Complaint Center.   Filing online is the quickest way for us to receive your complaint. Should you prefer ..

This 4x9 booklet from the FINRA Foundation offers steps military service members and families can take to prepare and protect their finances before, during and after a military move, including PCS and deployment. This publication is also available for download in PDF...

This 2 page (4-sided) consumer publication from the FINRA Foundation and First Nations Development Institute offers tips and resources for Native people to confidently manage and protect new money coming into Indian Country...

This 1 page (2-sided) consumer publication from FINRA offers important considerations for consumers establishing a Power of Attorney (POA) for investment accounts.This publication is also available for download in PDF...

This postcard includes information about and contact details for the FINRA Securities Helpline for Seniors, a toll-free number that senior investors can call to get assistance from FINRA or raise concerns about issues with brokerage accounts and investments...

Securities Helpline for Seniors-Spanish..

This consumer publication from FINRA explains the benefits and risks of various types of securities orders to help investors understand how the order type may impact the timing of and price paid when investing in or selling securities. ..

"Thinking Money: The Psychology Behind Our Best and Worst Financial Decisions" is a one-hour documentary (on DVD) that explores why we spend, why we save (or don't), and how we think about money. "Thinking Money" was released in 2014 by Rocket Media Group, LLC in association with the FINRA Foundation and Maryland Public Television. It was distributed to the PBS network via American Public Televisi..

This 1 page (2-sided) consumer publication from FINRA outlines what happens to an investment account after an account holder dies and explains how to set up a Transfer on Death (TOD) registration to prepare for a transition...

"Trick$ of the Trade: Outsmarting Investment Fraud" is a one-hour documentary (on DVD) that teaches viewers the tricks of persuasion that cons use and helps investors outsmart investment fraud and other financial scams. "Trick$ of the Trade" was released in 2009 by the FINRA Foundation and WQED-TV. It was distributed to the PBS network via American Public Television...