Investor Alerts & Bulletins

August 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...
August 4, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify potentially fraudulent unregistered offerings.
July 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...
July 11, 2014
The U.S. Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this updated Investor Alert to warn investors that fraudsters may use fake SEC correspondence...
June 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...
June 18, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about affinity fraud, a type of investment scam that preys upon members of identifiable...
June 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...
June 11, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify and be aware of financial professionals that may have a history of misconduct.
June 9, 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...
June 5, 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...
June 2, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors avoid fraudulent schemes that may be carried out through investment newsletters.
May 21, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with a short overview of the SEC’s IAPD database. For additional information about IAPD,...
May 16, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential risks involving investments in marijuana-related companies.
May 12, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to explain some of the most common mutual fund fees and expenses. As a general introduction to mutual fund fees...
May 7, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to make investors aware about the potential risks of investments involving Bitcoin and other forms of virtual...
March 20, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potentially fraudulent investment schemes that involve individuals or firms misrepresenting...
March 13, 2014
The Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this Investor Bulletin to help you understand what to expect when opening a brokerage account,...
February 10, 2014
La Office of Investor Education and Advocacy de la SEC publica este Boletín del Inversionista para ayudar al personal militar a tomar decisiones informadas sobre ahorros e inversión y evitar las...
December 4, 2013
The Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with information on the SEC's Delinquent Filings...
October 17, 2013
The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to warn individual investors about pyramid schemes, a type of investment scam that fraudsters often pitch as a...
October 9, 2013
The U.S. Securities and Exchange Commission's Office of Investor Education and Advocacy and U.S. Citizenship and Immigration Services are jointly issuing this Investor Alert to warn individual...
October 3, 2013
The U.S. Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about fraudulent solicitations using correspondence...
September 23, 2013
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about what it means to be an “accredited investor.”
September 23, 2013
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to educate individual investors about advertisements and announcements for investment opportunities in certain...
September 11, 2013
The Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy and the North American Securities Administrators Association (NASAA) are jointly issuing this Investor...

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