Publications for Investors

Through the Securities Division, the Secretary of State is active in the area of investor education and has developed educational programs with elementary, middle and high school students, senior citizens and other groups within the state. In addition, the division has a number of pamphlets available for consumers relating to investing.

Publications – (Order free copy) or Download PDF

Top 10 Threats to Investors for 2008 (New!)

Carnahan Urges Investors to Use Caution and Common Sense (New!)

Learn the ABCs of Investing: Ask Questions, Beware of Fraud, Call the Investor Hotline
A comprehensive guide that covers investing, the process, and the questions investors should ask before turning over their hard earned money. Complete with a glossary of terms.

The Three Knows of Investing (New!)
A guide that reviews goal setting and risk taking, selecting an investment advisor as well as investment options and the red flags of fraud.

Senior Investment Guide (New!)
A guide especially for Missourians 50 and older, concentrating on wise and safe investing and fraud scenarios generally targeted toward those nearly or newly retired.

Missouri Securities Division: How We Serve Investors (New!)
This guide explains the structure and operation of the Missouri Securities Division.  This publication also gives instruction on filing a complaint with the division.

Variable Annuities: A Guide for Investors (New!)
Variable annuities are complex products that may not be suitable for everyone.  This guide offers general information and questions that should be considered before investing in a variable annuity.

Managing Windfalls
Have you recently come into new wealth? This guide offers tips for avoiding fraud as well as suggestions for finding and understanding professional advice and managing your windfall.

When a Broker Calls, Take Notes 
This sheet, which lists important questions to ask before you invest, can be placed by the telephone in case of unsolicited or unexpected telephone calls.

 

Publications - Online Only

Missouri Investor Bill of Rights
A document outlining your rights as an investor.

Your Securities Account
A guide that describes how to establish a securities account, conduct securities transactions and what recourse is available to consumers if a discrepancy occurs in their account.

How to Read a Prospectus
This guide provides both a general overview of the content of a prospectus and explains some of the more important information contained in a prospectus.

How to Choose a Stockbroker
This publication offers important information on selecting a stockbroker that is right for your, the products and services a stockbroker can offer, how to check a broker for complaints or regulatory action and what actions to take if something goes wrong in your account.

10 Tips for Online Investors
This sheet offers ten items to consider before investing online.