Investing Resources

Links to a number of helpful investing resources.

Avoiding Investment Fraud & Scams

• Verify That Your Working With Licensed Individuals
  Check whether an investment, investment professional or firm is registered by calling DFI at 1-877-RING DFI (746-4334) or searching our online database.
• Most Common Investment Scams
  List of the most common investment scams found in Washington.
• Signs of Investment Fraud
  Educate yourself and recognize the signs of fraud.
• Investor Alerts from NASAA
  Latest investor alerts and tips from NASAA.
• The Alert Investor Podcasts
  The Alert Investor is a series of podcasts produced by NASAA to provide investors with investor protection news and information.
• Fraud Scene Investigator (FSI)
  Fraud Scene Investigator is an online interactive investor education program that teaches and empowers students how to detect and stop a million-dollar investment fraud and put the mysterious con man, “Mr. X,” behind bars.

Information About Investment Products

• 7 Free Investor Education Booklets
  7 investor education booklets covering a wide array of investment topics.
• Variable Annuities: What You Should Know
  Explains the basics of variable annuities, including what questions to ask before purchasing.
• Auction Rate Securities: What Happens When Auctions Fail
  Auction rate securities (ARS) refer to long-term investments that have a short-term twist: the interest rates or dividends they pay are reset at frequent intervals through auctions, which typically occur every 7, 14, 28, or 35 days.
• Calculating Mutual Fund Fees and Expenses
  Fees and expenses are an important consideration in selecting a mutual fund because these charges lower your returns. Many investors find it helpful to compare the fees and expenses of different mutual funds before they invest.
• Equity-Indexed Annuities (PDF)
  Information you should know before you buy an Equity-Indexed Annuity.

General Investing Information

• Investor Bill of Rights
  Information about your rights.
• Beginners' Guide to Financial Statements
  This brochure from the Securities and Exchange Commission is designed to help you gain a basic understanding of how to read financial statements.
• Cutting Through The Confusion
  This brochure explains the differences between brokers, investment advisers, and financial planners and identifies questions investors should ask themselves and potential providers before making a choice.

Organizations That Provide Investing Information

• Department of Financial Institutions Investor Education
  Information, tips, and resources from the Department of Financial Institutions.
• NASAA Investor Education
  Investor education and information from the North American Securities Administrators Association.
• NASAA Senior Investor Resource Center
  Information and resources for seniors.
• SEC Investor Education and Advocacy
  Investor information and tips from the Securities and Exchange Commission.
• FINRA Investor Information
  Tools, information, and resources from the Financial Industry Regulatory Authority.
• Alliance for Investor Education
  Investor's Clearinghouse with information, resources, and more.