Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Thursday, December 6, 2012

SEC & FINRA Offer Suggestions on Year-End Investment Considerations

The SEC's Office of Investor Education and Advocacy and FINRA issued an Investor Alert to provide individual investors with a few suggestions for year-end investment planning, including

  • Review your asset allocation
  • consider rebalancing
  • tax considerations
  • check out your investment professiona
  • locate your financial records.

Year-End Investment Considerations for Individual Investors

Other Regulatory Action, SEC Action | Permalink

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