Invest Smart -

an investor education service of the

Iowa Insurance Division

(This program is funded by penalties assessed to securities firms.)

Types of financial services professionals and their obligations to you as a client (Advisory posted 5-1-2013)

The Basics of Saving and Investing

Investor Tips For a Down Market

Top Ten Threats to Investors

Steps to Take to Protect Yourself

Before Hiring a Financial Advisor

"What to Do" Responses to Scam Promoters

Before You Sign Anything

File a Complaint

Additional Investor Education Information

Links to More Information

• SEC Investor Education  U. S. Securities & Exchange Commission Investor Education Resource Site
• NASD National Association of Securities Dealers
  NASD warns about email stock tip scam
• NFA National Futures Assocation Investor Education Links
• Securities Division - Arizona Corporation Commission Until Money Grows on Trees Verify Before You Buy
• NASAA Understanding College Savings Plans

Call 1-877-955-1212 to speak with a consumer affairs specialist, M-F 8:00-4:30.