Category: Investing

Do You Really Know Your Investment Professional? Clarkgym1 Comment


Since 2001, advisory services within the financial services industry have exploded. This trend was magnified after the housing crash and subsequent recession of 2008. More and more people have decided that they need at least some help with managing their finances. Therefore, many people have turned to investment professionals.

Broadly speaking, we think this is a good thing. People who become experts in a skill typically perform better than non-experts. While we consider ourselves decent painters and have painted our own home several times, we can spot the work of an expert.

That said all professionals aren’t cut from the same cloth. Just as there are quality professionals in any given field, there are questionable professionals and those who simply want to make a quick buck.

A History of Self-Regulatory Oversight

The financial services industry is highly regulated. This has been the case since the market crash of 1938. After that tumultuous crash and subsequent recession, Congress created the Security & Exchange Commission, better known as the SEC.

About that time, two self regulatory bodies, the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE), were formed. These bodies required membership and provided regulatory oversight of brokerages and brokers who…

This entry was posted in Investing, and tagged Clarkgym1 Comment
By : Adam | 27 Nov 2014
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Recommended Online Forex Trading Resources

By : Adam | 26 Nov 2014

Forex market is a type of trading wherein you can trade by selling or buying currencies as you do with commodities or stocks. Foreign exchange or Forex trading is a market that deals in a huge amount of money on a daily basis to the …

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Become a Great Investor in 3 Easy Lessons

By : Adam | 25 Nov 2014

This is a guest post by Mike, aka The Dividend Guy. He authors The Dividend Guy Blog since 2010 and manages portfolios at Dividend Stocks Rock. He is a passionate investor. If interested in submitting a guest post please read my guest post policy and …

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How to Use Precious Metal IRA to Secure Your Retirement

By : Adam | 24 Nov 2014

The following is a guest post. If interested in submitting a guest post please read my guest post policy and then contact me. More and more retirees are switching to making precious metal IRA investments instead of simply investing in much less stable stocks, bonds, …

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A Review of The Intelligent Investor by Benjamin Graham

By : Adam | 21 Nov 2014

The Intelligent Investor is the famous book written by Warren Buffet’s mentor, Benjamin Graham. This is one of the must read books for both average investors and Wall St. Brokers. In this book, Graham lays out his philosophy of investing and some key investing ideas …

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ETX Forex Trading Review

By : Adam | 14 Nov 2014

ETX Capital is the trading service brand of Monecor LTD. Since ETX Capital’s formation, the brand has extended Monecor’s tradition of excellent customer service and ethical practices (regulated by the FCA) into a variety of financial markets. With their Forex trading branch, the user will …

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What Kind of Investor are You?

By : Adam | 11 Nov 2014

New investors have a lot to learn. The world of investment is vast and diverse. It has opportunities tailor-made for every type of investor. The scope of it all can be overwhelming. But by simply understanding your own goals, you make the job of choosing …

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