{"id":516,"date":"2016-12-28T16:31:44","date_gmt":"2016-12-28T16:31:44","guid":{"rendered":"http:\/\/localhost\/?p=516"},"modified":"2017-08-28T18:39:24","modified_gmt":"2017-08-28T18:39:24","slug":"finra-investor-study","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2016\/12\/28\/finra-investor-study\/","title":{"rendered":"FINRA Investor Study"},"content":{"rendered":"

Recently, FINRA published a report regarding its investor survey (FINRA Investors in the US 2016<\/a>).\u00a0 The report summarizes findings from an online survey addressing investor relationships with broker-dealers and advisers, investor understanding of fees charged for investment services and investor literacy.\u00a0 The survey finds that a very small percentage of investors own \u201ccomplex securities,\u201d such as REITs, options and structured notes, which have been a focus of regulatory attention.\u00a0 Most investors own principally individual stocks and mutual funds.\u00a0 More than half of those investors surveyed rely on the services of a broker or other professional adviser for some of their investment decisions, with the percentage being somewhat higher for investors aged 55 and higher. \u00a0Approximately 16% of those surveyed use robo-advisers.\u00a0 In making investment decisions, 49% expressed a preference for paper deliver of documents.\u00a0 An overwhelming percentage of investors (68%) rely on information from the company in which they are investing in order to make their investment decisions.\u00a0 The investor literacy component of the survey questions revealed that many investors do not have a complete understanding of concepts like short selling and buying stocks on margin, which suggests that broker-dealers and investment advisers have continued work ahead of them in terms of investor education.<\/p>\n

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Recently, FINRA published a report regarding its investor survey (FINRA Investors in the US 2016).\u00a0 The report summarizes findings from an online survey addressing investor relationships with broker-dealers and advisers, investor understanding of fees charged for investment services and investor literacy.\u00a0 The survey finds that a very small percentage of investors own \u201ccomplex securities,\u201d such … Continue reading FINRA Investor Study<\/span> →<\/span><\/a><\/p>\n","protected":false},"author":6,"featured_media":536,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"footnotes":""},"categories":[21,22],"tags":[],"class_list":["post-516","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t\n\t\n\t\n\t\n\t\n\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t