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Investor Education Brochures

 

Hard copies of the following consumer brochures are available by contacting our office:

• A Consumer Guide to Selecting a Financial Professional (brochure produced by OOS) (PDF)
• Gold: What Every Investor Should Know (brochure produced by OOS) (PDF)
• Resources for Maine Investors Approaching or In Retirement (brochure by OOS with fraud prevention tips and a list of senior resources) (PDF)
• The ABC's for APS Professionals (brochure produced by OOS with assistance of the North American Securities Administrators Association (NASAA) and the National Adult Protective Services Association (NAPSA) with tips on spotting and reporting financial exploitation and abuse involving investments) (PDF)
• Fighting Fraud 101: Smart Tips for Older Investors (brochure produced by the SaveAndInvest.org project of the FINRA Investor Education Foundation) (PDF)

Many other brochures and resources are available by exploring the links below:

 

Investing Online Resources

This Basic Guide covers everything you'll need to know from how to balance risk and return to the most common investment scams.

Senior Safe Resources

Senior Safe Client Brochure

Educational Presentations

Elder Investment Fraud and Financial Exploitation Prevention Program
Presentation: April 18, 2012 at the University of New England/Portland Campus. View a video of the presentation.

Checklist for Lawyers: Elder Investment Fraud and Financial Exploitation Tool

 

Investor Alerts and Tools from FINRA

Investor Education Brochures by The Editors of Kiplinger's Personal Finance

• Five Keys To Investing Success (PDF)
• The Basics For Investing In Stocks (PDF)
• A Primer For Investing In Bonds (PDF)
• Mutual Funds and ETF's: Maybe All You'll Ever Need (PDF)
• Getting Help With Your Investments (PDF)
• Maximize Your Retirement Investments (PDF)
• Where To Invest Your College Money (PDF)

When Your Broker Calls, Take Notes

Make copies of When Your Broker Calls, Take Notes to have handy and use it to make notes of conversations with your salesperson or adviser. Be sure to record details of the recommendations you receive and the instructions you give. Keep the notes in your files.

The Smart Investor's Check List

 

 

Last Updated: August 7, 2020

Consumer Tools

• Enforcement actions & consent agreements
• File a complaint
• Investor Education Brochures
• Web resources for consumers
• Determining the Value of Stock Certificates

Industry Tools

• The Maine Office Of Securities Cybersecurity Guideline 2018
• Web resources for Industry
• Manual exemption annual certifications
• Licensing & Registration
• Forms
• FINRA Regulation
• Laws, rules, & advisory rulings
• Small business help
• ME licensed IA's
  Switch Training Power Point
• Legal Rate of Interest

 

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