Investor Alerts & Bulletins

February 14, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this alert to inform investors about the risks in using credit cards to purchase an investment or to fund an investment account.
February 1, 2018
The SEC’s Offices of Investor Education and Advocacy and Municipal Securities are issuing a series of three Investor Bulletins to help educate investors about the municipal securities market. This...
February 1, 2018
The SEC’s Offices of Investor Education and Advocacy and Municipal Securities are issuing a series of three Investor Bulletins to help educate investors about the municipal securities market. This...
February 1, 2018
The SEC’s Offices of Investor Education and Advocacy and Municipal Securities are issuing a series of three Investor Bulletins to help educate investors about the municipal securities market. This...
January 30, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about ABLE accounts.
December 27, 2017
With 2017 coming to a close, here are the SEC Office of Investor Education and Advocacy’s top 10 most popular Investor Alerts and Bulletins for the year. These resources, all available on Investor...
December 12, 2017
From time to time, the SEC seeks comment from the public on a number of matters, including on the SEC’s rulemakings. The Office of Investor Education and Advocacy is issuing this Investor Bulletin to...
December 7, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about investment adviser sponsored wrap fee programs. This bulletin provides...
December 5, 2017
The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy and the Office of Public Affairs have created an interactive brokerage account statement to help you better...
December 4, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with background information on 529 plans. Please also see our companion Bulletin for a few...
December 4, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to answer questions that may arise when investing in a 529 plan account. Please also see our companion Bulletin,...
November 7, 2017
The SEC’s Office of Investor Education and Advocacy is warning investors about investment scams conducted through online paid-to-click (PTC) programs.
November 3, 2017
The Securities and Exchange Commission’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors understand Master Limited Partnerships, or MLPs. Because...
November 1, 2017
The SEC’s Office of Investor Education and Advocacy (OIEA) is warning investors not to make investment decisions based solely on celebrity endorsements.
October 17, 2017
The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to alert investors, including individuals who may receive lump sum payouts from insurance companies and others as a...
October 12, 2017
The SEC’s Office of Investor Education and Advocacy and Office of Credit Ratings are issuing this Investor Bulletin to educate investors about credit ratings.
October 2, 2017
The SEC’s Office of Investor Education and Advocacy, the Commodity Futures Trading Commission, FINRA (the Financial Industry Regulatory Authority), and NASAA (the North American Securities...
September 25, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide tips on what to consider when opening an investment advisory account. Investment advisory accounts...
September 14, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about the professional awards, rankings, and designations that financial...
September 12, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors regarding the rules that apply to trading securities in cash accounts and to highlight...
September 6, 2017
The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to alert investors, including individuals who may receive lump sum payouts from insurance companies and others as a...
August 28, 2017
The SEC’s Office of Investor Education and Advocacy is warning investors about potential scams involving stock of companies claiming to be related to, or asserting they are engaging in, Initial Coin...
August 22, 2017
On March 22, 2017, the Securities and Exchange Commission amended Exchange Act Rule 15c6-1 to shorten the standard settlement cycle for broker-dealers transaction from “T+3” to “T+2,” subject to...
July 31, 2017
The SEC’s Office of Investor Education and Advocacy (OIEA) and Broker-Dealer Task Force are warning the more than 5 million Thrift Savings Plan (TSP) participants, and investors in other federal...
July 25, 2017
Developers, businesses, and individuals increasingly are using initial coin offerings, also called ICOs or token sales, to raise capital. These activities may provide fair and lawful investment...

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