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General Investor Information
Margin Accounts
View investor guidance on purchasing on margin and risks involved with trading in a margin account. Learn what margin and margin requirements are; also see an example of how this type of trading works and learn the risks of investing this way.
Guidance To Investors Regarding Stock Volatility And Online Trading
Before opening an online account or placing the first trade, investors should ask brokerage firms a number of questions so they can make appropriate investment decisions. Online investors need to be aware of the potential for stock market volatility, the possibility of delays due to high Internet traffic or high trading volume, and the difference between market and limit orders.
Prohibited Conduct
Learn about the types of conduct in the securities industry that are prohibited before you begin investing.