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Investor Bulletins

Investor Bulletin: Custody of Your Investment Assets

03/04/2013

SEC-registered investment advisers who have custody of their clients’ funds or securities must safeguard those funds as required by the SEC’s “custody rule.” The custody rule is designed to provide additional safeguards for investors against the possibility of theft or misappropriation by investment advisers who are registered with the SEC. Despite the protections offered by the custody rule, investors still need to be proactive in ensuring the safety of their investments.Read more

Investor Bulletin: Insider Transactions and Forms 3, 4, and 5

02/27/2013

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about SEC Forms 3, 4, and 5. The federal securities laws require certain individuals (such as officers, directors, and those that hold more than 10% of any class of a company’s securities, together we’ll call, “insiders”) to report purchases, sales, and holdings of their company’s securities by filing Forms 3, 4, and 5.Read more

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Investor Bulletin: Investing in an IPO

02/25/2013

Historically, an initial public offering, or IPO, has referred to the first time a company offers its shares of capital stock to the general public. Under the federal securities laws, a company may not lawfully offer or sell shares unless the transaction has been registered with the SEC or an exemption applies...Read more

View Document: English (pdf)

Investor Bulletin: Hedge Funds

10/03/2012

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about hedge funds.Read more

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Investor Bulletin: How to Read Confirmation Statements

09/27/2012

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide you with guidance on how to read confirmation statements. Read more

View Document: Spanish (pdf)