FINRA Investor Alert on Bond Liquidity

By: Jason Robinson, Summer 2015 Graduate Research Assistant

The Financial Industry Regulation Authority (FINRA) recently issued an Investor Alert entitled Bond Liquidity—Factors to Consider and Questions to Ask. A liquid investment is one that can be bought and sold easily without a significant change in the price of the asset. According to FINRA, investors should realize that the market for bonds, unlike the stock market, is not “instantly liquid, and some bonds are easier to trade than others.” It is important that bondholders consider the risks associated with selling a bond before it matures as well as the factors that put pressure on bond liquidity. Continue reading

FINRA Investor Alert on Transfer of Brokerage Account Assets Upon Death

By: Jason Robinson, Summer 2015 Graduate Research Assistant

The Financial Industry Regulatory Authority (FINRA) recently issued an Investor Alert entitled Plan for Transition: What You Should Know About the Transfer of Brokerage Account Assets on Death. The alert provides investors with useful tips concerning estate planning for non-retirement accounts. Continue reading