Your Guide to CFTC SmartCheck Month

10/13/2017 11:40 am EST


Dan Rutherford

Deputy Director, Office of Customer Education and Outreach, U.S. Commodity Futures Trading Commission

This month, spend some time watching True Fraud Stories. These investors have lived through some tough experiences and have shared their stories with the CFTC so you can learn from them, advises Dan Rutherford of the Commodity Futures Trading Commission. 

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(Sponsored content) The CFTC is celebrating SmartCheck Month to ensure you have the most current information and tools to enhance your investment knowledge. During the month we will share essential tips, real-life stories, and connect you with events to help you become a smarter investor.

The first step to smarter investing

A great place to start for any investor or trader—whether new or experienced—is confirming that your advisor, firm, or broker is licensed or registered with a government regulator or self-regulatory organization. Working with registered professionals can not only help you avoid fraud, but it may give you some protection if you are defrauded.


Even if you’ve been working with your advisor for a while, it never hurts to look him/her up on occasion to ensure all is well. The process is simple, anonymous, and free.

We’ve outlined an easy, three-step process to complete a comprehensive Check. Why not start SmartCheck Month sooner and run a check today?

Run your check now

World Investor Week, October 2-8

The first week of October is also World Investor Week (WIW) — this is seven days of regulators from six continents focusing their efforts on educating and protecting all investors. CFTC joined this initiative to ensure U.S. consumers have the facts about investing do’s and don’ts.

Even if you haven’t considered commodity futures, options, or swaps as part of your financial portfolio, it’s important to understand what they are.
Take a look as some of these great resources to orient yourself:

Looking for more information? Like us on Facebook or follow us on Twitter, where we deliver a fact-a-day all month long.

Financial Planning Days, October 1-31

No matter where you are on your financial journey, Financial Planning Days can help provide answers to your questions. This collaboration between the financial community, local and national governments, and the investing public offers events all month granting you free access to one-on-one financial advice and helpful resources, which include resources on protecting yourself from fraud.

Visit the Financial Planning Days website resources for topics being covered and helpful links: See if there’s an event near you at the Financial Planning Days locator.

Smartcheck Month Events, October 14, 20, 28

CFTC will join Financial Planning Days for three events. One will be held on Saturday, October 14, from 10:00 a.m. to 2:00 p.m. at the Harold Washington Library Center in downtown Chicago. The second will be on Friday, October 20 at the Science Industry and Business Library in New York from 10:00 a.m. to 5:00 p.m. The last event will occur from 9:00 a.m. to 2:00 p.m. on Saturday, October 28 at the University of Virginia’s Northern Virginia Center in Falls Church, Va., just outside of Washington D.C. CFTC will demonstrate how to perform a background check and answer real-time questions about the importance of understanding the credentials and registration of your advisor or broker.

I’d like to attend

Learn from real-life experiences

This month, spend some time watching True Fraud Stories. These investors have lived through some tough experiences and have shared their stories with the CFTC so you can learn from them.

From fraudulent online binary options trading companies, to elaborate precious metal scams, these smart, diligent investors have learned the hard way that checking registration before you invest is a must.

Watch now

Three easy ways to make sure you don’t miss any SmartCheck Month tips and news:

This article is provided for general informational purposes only and does not provide legal or investment advice to any individual or entity. Please consult with your own legal advisor before taking any action based on this information. This article was prepared for the Commodity Futures Trading Commission’s SmartCheck program.

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