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Arkansas Securities Department Highlights Proactive Investor Protection Tips for Financial Capability Month

April 1, 2024 – Securities Commissioner Susannah T. Marshall encourages investors in Arkansas to utilize the Arkansas Securities Department’s many investor education resources available to them during National Financial Capability Month, which runs throughout April, and throughout the year.

“No matter your investor profile or where you stand on your investment journey, the Arkansas Securities Department has tailored resources designed specifically for you,” said Commissioner Marshall. “Building a solid foundation in financial literacy empowers investors to recognize and steer clear of fraudulent schemes. Throughout April and beyond, we invite investors in Arkansas to explore our comprehensive investor education materials.”

This Financial Capability Month, the Arkansas Securities Department recommends that both new and existing investors take proactive measures to safeguard their financial interests:

  1. Verify Legitimate Registration Sources:
    • Contact your state or provincial securities regulator to ensure that you’re investing with an authorized professional. Visit nasaa.org/contact-your-regulator/ for contact information specific to each state securities regulator.
  2. Independently Verify Identity:
    • In the United States, use resources like BrokerCheck and IARD to independently verify the identity of anyone soliciting personal information or investment funds. Confirm that you’re dealing with a bona fide securities professional.
  3. Canadian Investors:
  4. Scrutinize Investment Solicitations:
    • Pay attention to typos, misspellings, and factual discrepancies in any investment solicitation.
    • Cross-check the provided contact information with that available on BrokerCheck, the IAPD, or the Canadian National Registration Search. Inconsistencies are red flags.
  5. Conduct Independent Research:
    • Don’t rely solely on solicitation information. Investigate further.
    • Verify information using authentic regulatory filings.
  6. Remember the Adage: If It Seems Too Good to Be True…
    • Trust your instincts. If an opportunity appears exceptionally favorable, exercise caution.

For additional tips and resources, visit the Arkansas Securities Department’s website at securities.arkansas.gov.

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