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Investor Bulletins

Investor Bulletin: Ten Things You Should Know About Investing

07/17/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors basic information that may help them make informed financial decisions and avoid common scams.Read more

Investor Bulletin: Transferring Your Investment Account

06/27/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about transferring an investment account from one investment firm to another and to provide tips on how to avoid problems and delays.Read more

Investor Bulletin: Behavioral Patterns of U.S. Investors

06/16/2014

In 2010, the SEC’s Office of Investor Education and Advocacy asked the Library of Congress’s Federal Research Division to prepare a report on behavioral traits of U.S. investors (Report). We are issuing this Investor Bulletin to remind investors about the Report’s findings and highlight the investing behaviors identified in the study that can undermine investment performance.Read more

Investor Bulletin: Lost and Stolen Securities

06/09/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about lost and stolen securities and the Commission’s Lost and Stolen Securities Program (“LSSP”), a database for securities certificates reported lost, stolen, missing, or counterfeit.Read more

Investor Bulletin: Bank Sweep Programs

06/05/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about bank sweep programs, which some broker-dealers offer to their customers as a way to manage cash in their brokerage accounts. This Investor Bulletin describes some of the potential risks associated with bank sweep programs and suggests questions you may want to consider asking your broker-dealer to help you decide how to best manage the cash in your brokerage account.Read more