Investor Alerts & Bulletins

June 21, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) is informing investors about how they may be able to recover money if they have been harmed by a violation of the federal securities laws.
May 30, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force are warning investors about red flags that a broker may be running a side business offering investments that...
May 29, 2018
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,...
May 29, 2018
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...
May 18, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about health savings accounts. We encourage you to also consult Internal Revenue...
May 14, 2018
The SEC’s Office of Investor Education and Advocacy is publishing this Investor Bulletin to educate investors about the use of margin accounts to buy securities, including the related risks.
May 8, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with information about a new rule from the Financial Industry Regulatory Authority (FINRA)...
April 24, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help military personnel make informed savings and investing decisions and avoid common scams. Here are ten...
April 9, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force are warning investors about Ponzi schemes that prey on senior investors.
April 4, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) is warning investors about investment schemes where fraudsters misrepresent that they work for the SEC and pretend to help investors...
April 3, 2018
Choosing a financial professional is an important decision. This updated Investor Bulletin provides a few key tips to help you make a well-informed choice. A number of questions you should consider...
March 20, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to answer some common questions investors ask us about investment clubs.
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 21, 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...
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...

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