The Financial Industry Regulatory Authority (FINRA), and the SEC’s Office of Investor Education and Advocacy,have issued a new Investor Alert called Year-End Investment Considerations for Individual Investors. This new alert provides individual investors with a few suggestions for year-end investment planning as the year draws to a close.
“The end of the year is a great time to take stock of your financial situation and make sure your investment plan is meeting your needs,” said Gerri Walsh, FINRA’s Vice President for Investor Education. “Taking some time to carefully manage your investment portfolio can pay dividends in the coming year."
The Year-End Investment Considerations outlines five areas investors should focus on when making decisions regarding their investments:
Consider Rebalancing. Some of your investments will grow faster than others. Rebalancing your investments will allow you to adjust your investment portfolio so not to overemphasize one or more asset categories.
Asset Allocation. The end of the year is a time to review your overall investment portfolio and evaluate your existing asset allocation.
Check Out Your Investment Professional. Many investors do not realize that they can check the background of a broker or investment adviser by using FINRA BrokerCheck or the Investment Adviser Public Disclosure (IAPD) website.
Tax Considerations. Investors interested in learning what impact tax rates, including potential changes in the tax laws, may have on their investments under different financial scenarios should consult their tax adviser or visit the IRS website.
Locate Your Financial Records. Prepare a list identifying your financial records, including a list of financial accounts and all user names and passwords.
Securities Lawyer, Lars Soreide, of Soreide Law Group, represents clients nationwide before FINRA. If you or a loved one have sustained investment losses due to your stock broker or financial advisor’s recommendations, call for a free consultation on how to potentially recover your losses through a FINRA arbitration. To speak with an attorney call 888-760-6552, or visit our website at: https://www.securitieslawyer.com.
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