Investor Alerts & Bulletins

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 Alert to educate individual investors about advertisements and announcements for investment opportunities in certain...
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 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...
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...
July 23, 2013
The SEC’s Office of Investor Education and Advocacy is issuing this investor alert to warn individual investors about fraudulent investment schemes that may involve Bitcoin and other virtual...
June 26, 2013
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to make investors aware that market interest rates and bond prices move in opposite directions—for example, when...
June 24, 2013
The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify fraudulent investment offers made by firms purporting to have met with the SEC, including...
June 12, 2013
FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this Investor Alert to warn investors to be on the lookout for email spam promoting “pump-and-dump” stock scams.
June 6, 2013
The SEC’s Office of Investor Education and Advocacy and the Commodity Futures Trading Commission’s Office of Consumer Outreach (CFTC) are issuing this Investor Alert to warn investors about...
June 4, 2013
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to offer basic information about corporate bonds.
June 4, 2013
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about high-yield corporate bonds, also called "junk bonds." While they generally...
May 30, 2013
Securities and Exchange Commission staff is issuing this Investor Alert in response to a number of fraudulent solicitations currently underway that purport to be affiliated with or sponsored by the...
May 9, 2013
What You need to Know Before Buying or selling Them. Do you receive a monthly pension from a former employer? Are you getting regular distributions from a settlement following a personal injury...
May 2, 2013
The SEC's Office of Investor Education and Advocacy is issuing this alert to educate individual investors about certain risks and possible fraudulent activity involving private offerings of...
April 16, 2013
SEC staff is issuing this updated Investor Alert because we are aware of continuing fraudulent solicitations that purport to be affiliated with or sponsored by the Securities and Exchange Commission...
April 9, 2013
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to inform investors of recent safeguards approved by the SEC to address market volatility in U.S. equity markets...
April 3, 2013
Mutual funds that are registered with the SEC must send reports to their shareholders on a semiannual basis. the semiannual report covers the first six months of the fund's fiscal year, while the...
March 4, 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...
February 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 (...
February 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...
December 26, 2012
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about assessing credit risks they face when purchasing municipal bonds, which may also...
December 6, 2012
The SEC’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to provide individual investors with a few suggestions...
November 29, 2012
SEC staff is issuing this updated Investor Alert because we are aware of continuing fraudulent solicitations that purport to be affiliated with or sponsored by the Securities and Exchange Commission...

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