As the world of investments gets more complicated and the economic downturn has created opportunities for scam artists, the consumer's first line of defense is to be armed with the best possible information to be protected against unscrupulous operators.
Inside E Street's Sheilah Kast spoke with John Gannon, Senior Vice President of Investor Education at at FINRA.
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 4,750 brokerage firms, about 167,000 branch offices and approximately 633,500 registered securities representatives.
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