FINRA-Reviewed Resources

Please note that when FINRA-Reviewed Materials are used by FINRA member firms, the firm's name must be clearly and prominently set forth as required by Rule 2210(d)(2)(C)(i).




cognitive-declineGuide for Consumers: Planning for the Possibility of Cognitive Decline

This document will provide some basic information about legal documents you can create and other actions you can take to make sure you and your assets are protected and your care assured to help prepare for the possibility of cognitive decline.

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women-retirementChecklist for Consumers: Safeguarding Retirement for Women

Planning for retirement is every bit as much a concern for American working women as it is for working men, and perhaps more so. To help prepare for and manage the challenges women face, review this important information and complete the checklist with your financial professional to ensure your retirement plan meets your needs.

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retirementRetirement By The Numbers

The Social Security Administration, the Internal Revenue Service (IRS), and other government agencies recently announced changes and other key retirement planning figures that will impact retirees and retirement savers in 2017.

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Steps to Mitigate Financial RiskTips for Consumers: Steps to Mitigate and Minimize Financial Risk

Once in retirement, many will face the most profound financial risks of their lifetimes. While retirees cannot completely insulate themselves from risk, there are steps to mitigate it and minimize its impact on their lives.

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Selecting a Financial AdvisorTips for Consumers: Selecting a Financial Advisor

Many savers will look to a financial advisor for help planning for retirement. But what type of advisor is right for them?

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6  Questions - Purchasing an AnnuityTips for Consumers: Six Important Questions to Ask when Purchasing an Annuity

As more Americans take charge of planning for retirement, a growing number will consider an annuity as part of their strategy.

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FAQ

FAQ

A compilation of FAQs to provide advisors general information on the DOL Fiduciary Rule

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Training Videos

Training Videos

Short, free videos covering various DOL Rule topics

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