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Investor Articles

Improve your investing strategy with these important tips, lists, and guides on preventing fraud and smarter investing from the Office of Customer Education and Outreach. For the latest information on CFTC Enforcement Actions, visit the Enforcement Action Press Release page.

Man in suit pocketing money
Investor Articles / Published on
We all have a lot on our minds. From remembering what is on our to-do list to planning for retirement, our lives require us to make many choice in a short time. To make matters worse, research indicates that our brains aren't always our allies.…
CFTC Smartcheck
Investor Articles / Published on
To help investors take smart steps to check the backgrounds of financial professionals, representatives from the U.S. Commodity Futures Trading Commission (CFTC) and the Texas State Securities Board (TSSB) will hold “SmartCheckSM Days” events on…
IRS Website Screenshot
Investor Articles / Published on
If you've been a victim of investment fraud, there may be implications for your federal taxes once the investment fraud is discovered. There are tax treatments that may be applicable to erroneously reported income and losses due to investment or…
whistleblower program
Investor Articles / Published on
Smart investors know to learn the ways federal regulators assist the public. 'Get to Know the CFTC' is an ongoing series on, providing consumers with information on different offices and divisions of the CFTC directly from the source…
Scam Smart
Investor Articles / Published on
Fraudsters and scam artists aren't limited by geo-political borders, and smart investors should't limit their education to their own country's financial regulators. The Office of Consumer Outreach at the CFTC wants to ensure that you have access to…
3.14 billion in civil monetary penalties
Investor Articles / Published on
            <p>The CFTC Division of Enforcement is hard at work enforcing the laws and regulations contained within the Commodities Exchange Act. Throughout the year, the Division of Enforcement releases <a href="…
Fraud really doesn't care
Investor Articles / Published on
The holidays are over and 2015 is in full swing, which means it is time to check the background of your financial professionals. Whether you’ve been working with the same financial professional for years, or you are considering utilizing a new one,…
Stock Market Report
Investor Articles / Published on
While most individuals do not trade in the commodities markets, below are tips that the Commodity Futures Trading Commission (CFTC) suggests you should consider before becoming involved in the markets. Always start with YOUR investment and…
Scales of Justice
Investor Articles / Published on
On November 6, 2014 the CFTC’s Division of Enforcement announced the Fiscal Year 2014 case statistics. The CFTC obtained a record $3.27 Billion in monetary sanctions against individuals and companies for violations of the Commodities Exchange Act.…
Registration status check
Investor Articles / Published on
Michael Herndon, Consumer Outreach Officer with the CFTC Office of Consumer Outreach, recently participated in a webinar designed to help investors make smarter investing decisions. The webinar “Good Habits of Smart Investors” took place on November…

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