World Investor Week: CFTC’s FinTech Forward 2018 and SEC, NFA, FINRA Events

World Investor Week

World Investor Week is a 7 day global campaign dedicated to investor protection and education, endorsed by the G20 presidency and participation includes the CFTC, NFA ,SEC and FINRA. This is the second year the International Organization of Securities Commissions (IOSCO) organizes the event with members on six continents as part of the initiative. From Monday, October 1st through Sunday, Octover 7th regulators and other major players will provide investor-focused services such as webinars, workshops and conferences to benefit investor education and protection. The SEC (national coordinator), CFTCFINRA and supporters are working together with interested government agencies, localities, and organizations to promote World Investor Week and its goals in the United States.

All participating jurisdictions and regional organizations can be found here.


National Futures Association

In support of World Investor Week, the NFA will conduct a free webinar entitled,Investor protection: A worldwide impact starts with you, on Tuesday, October 2, 2018 at 10:00 a.m. CT/11:00 a.m. ET. NFA will be joined by representatives from the CFTC, SEC and FINRA, in an effort to educate investors on the Key Messages of WIW, which include:

  • Verifying investment professionals are licensed;
  • Conducting research on products before investing;
  • Understanding the risks that exist in all investments; and
  • Avoiding “get rich quick” and “can’t lose” schemes.

Register here.

Securities and Exchange Commission

Scheduled during World Investor Week, the SEC and the Federal Retirement Thrift Investment Board are co-sponsoring a program titled “Your TSP Account – What to Think About When Nearing Retirement or Considering Leaving the Government” on Tuesday, October 2, 2018, 2:00pm-4:00pm EST at the SEC, 100 F Street, NE, Washington, DC 20549 and via live public webcast.

The program will cover TSP distribution options, withdrawals and roll-outs. Discussion will also cover fees, the common red flags of investment fraud, how to check out a financial professional, and questions to ask when thinking about moving funds from the TSP.

No registration is necessary for the webcast and will appear here.


CFTC Presents FinTech Forward 2018

The Commodity Futures Trading Commission’s FinTech Forward 2018 is also being held in support of World Investor Week.

FinTech Forward 2018: Innovation, Regulation and Education” is presented by the CFTC’s LabCFTC and Office of Customer Education and Outreach. The two-day conference, from October 3-4, will convene innovators, regulators, market participants and the public to examine a wide range of fintech issues including:

• Regulating crypto assets
• Evolving tokenization
• Safeguarding digital assets
• The future of regtech, compliance, and oversight
• AI’s market intelligence, impact and transformative potential

Join us via livestream for this unique opportunity to hear from the fintech community. The livestream link will be posted on on the day of the event. We will also post the link on Twitter, so follow @CFTC to ensure you receive all conference information as soon as it is available.

As an added feature, the conference will include an opportunity to “Meet The Regulators” with representatives from U.S. and international regulators including the CFTC, SEC, FINRA, the Federal Trade Commission, National Futures Association and Brazil’s ​​Comissão de Valores Mobiliários. This is a chance to learn more about their respective jurisdictions and innovation engagement initiatives as well as discuss fintech topics. While the conference is sold out, you may meet with the regulators at CFTC headquarters without a conference registration.

The conference will be livestreamed and the link will be available on the CFTC’s homepage on October 3-4 , 2018.

Financial Industry Regulatory Authority

During World Investor Week, the FINRA Foundation will participate in a Twitter chat hosted by the SEC and will co-host a nationwide webinar with the National Futures Association, the SEC and others. FINRA staff are also delivering presentations during the week and throughout the year to provide tools, information and resources to raise awareness about investor education and protection.

The Foundation’s most recent National Financial Capability Study indicates that only 37 percent of Americans are considered to have high financial literacy, meaning they could answer four or more questions on a five-question financial literacy quiz—down from 39 percent in 2012 and 42 percent in 2009. The survey also indicated that while the financial capability of many Americans is improving, making ends meet remains a daily struggle for millions — particularly women, millennials, African-Americans, Hispanics and those lacking a high school education.

“There is a critical need to engage consumers using innovative strategies and diverse platforms to effect positive changes in financial behaviors,” Walsh said. Key campaign messages include encouraging investors to:

  • use BrokerCheck to research the background of their financial professional;
  • ask questions about financial opportunities and check out the answers with unbiased sources;
  • understand the impact of fees associated with buying, owning, and selling an investment product;
  • know that all investment products have risks;
  • be alert to the warning signs of financial fraud;
  • recognize the power of compound interest;
  • diversify investments; and
  • plan and invest for future needs.

The FINRA Foundation supports innovative research and educational projects that give underserved Americans the knowledge, skills and tools to make sound financial decisions throughout life. The Foundation is recognized as a world leader in supporting research and financial education initiatives to address the nation’s financial capability needs.

For more information about FINRA Foundation initiatives, visit

More information on IOSCO can be found here.

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