Investment Industry Regulators and Investment Protection

Two Men Shaking handsWe hope this never happens to you: You are working from home today, so you decide to go online to check your brokerage account information. Something strange happened, your account balance is much lower than you expect - and you know that, at least for today, neither the market nor any of your securities fell in value. For your surprise, you noticed that there were several wire transfers of money from your account to a foreign bank account. But you never authorized those transactions - instead, an identity thief did, and that thief has now stolen your cash as well as your personal information. Now what?...

Like many investors, you may enjoy some of the conveniences of an online brokerage account, like checking your brokerage account information at any time of day or night, buying and selling securities, or even transferring money between your brokerage account and another account. But if you don't take steps to protect your personal information when you go online, you could be telling your own story of identity theft. This module will help you recognize the function of the investment industry regulators, some of the basic principles to protect your investment from fraud and recognize what to do to prevent identity theft.

This module will help you recognize what needs to be done in order to protect your investments from fraud.

Curriculum PDF files

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