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News and Alerts

As more first-time investors turn to the markets to help secure their future, pay for homes, or send children to college, the SEC’s investor protection mission is more compelling than ever. 

In this section, you will find:

08/04/2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify potentially fraudulent unregistered offerings. Read More »
08/18/2014
The SEC’s Office of Investor Education and Advocacy is issuing this investor bulletin to provide investors with resources to check out a financial professional’s background. Even if a close friend or family member recommends a financial professional, you should still check out that person for signs of potential problems. Before becoming a customer, take the time to look at the registration status and background of any firm or financial professional you are considering. You should also be able to find out whether the individual is currently registered or licensed, or has been suspended, as well as the individual’s qualifications and employment history. These records are available through the SEC, FINRA, and/or state securities regulators. Read More »
08/05/2014
The Securities and Exchange Commission today charged four promoters with ties to the Pacific Northwest for manipulating the securities of several microcap companies, including marijuana-related stocks that the agency has warned investors about in recent weeks. Read More »