Investor Alerts & Bulletins

August 17, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about American Depositary Receipts (“ADRs”). An ADR is a security that represents shares of...
August 10, 2012
This Investor Bulletin discusses only ETFs that are registered as open-end investment companies or unit investment trusts under the Investment Company Act of 1940 (the “1940 Act”). It does not...
June 1, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate individual investors about municipal bonds.
May 22, 2012
A company has just released its quarterly earnings. Another company has auditor news that could raise a red flag, and a third company is filing for bankruptcy. Where can you find more facts?...
May 11, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the SEC’s rules and regulations related to trading suspensions. The federal...
May 1, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide seniors who use social media with a few tips to help them do so more safely and to help them avoid...
April 24, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this updated Investor Alert to warn investors about investment scams that purport to offer investors the opportunity to buy pre-IPO...
March 28, 2012
Over the next few months, investors can expect to receive proxy materials for annual shareholder meetings or a related notice advising shareholders how they can access these materials. Shareholder...
February 23, 2012
SEC staff is issuing this updated Investor Alert because they have seen a recent surge of complaints about a scheme where fraudsters posing as SEC employees call potential victims on the telephone...
January 5, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with tips they should consider when establishing an account on a social media website...
December 22, 2011
Some suggestions on how to become a smarter investor in 2012.
December 20, 2011
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to make investors aware of upcoming changes in the registration rules for some investment advisers.
December 9, 2011
Real estate investment trusts (“REITs”) have been around for more than fifty years. Congress established REITs in 1960 to allow individual investors to invest in large-scale, income-producing real...
October 25, 2011
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors of potential scams they may encounter at investment seminars that purport to teach investors...
October 4, 2011
The Foreign Corrupt Practices Act (“FCPA”) generally prohibits the bribing of foreign officials. The FCPA also requires publicly traded companies to maintain accurate books and records and to have a...
September 7, 2011
If you want to follow or invest in a U.S. public company, you can find a wealth of information in the company’s annual report on Form 10-K. Among other things, the 10-K offers a detailed picture of a...
August 23, 2011
For many Americans, retirement can be an alluring stage of life—a time when many hope to finally have the time to try new hobbies or travel. But retiring comfortably and being able to do the things...
August 23, 2011
The SEC’s Office of Investor Education and Advocacy is issuing this update to alert investors, including deaf investors, about “Imperia Invest IBC” and similarly-named companies.
July 29, 2011
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors, including individuals receiving lump sum payouts from the federal government in...
July 20, 2011
Individual investors who are considering participating in the foreign currency exchange (or “forex”) market need to understand fully the market and its unique characteristics. Forex trading can be...
June 9, 2011
Many private companies, including some whose operations are located in foreign countries, seek to access the U.S. capital markets by merging with existing public companies. These transactions are...
June 7, 2011
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the SEC’s rules and regulations related to stock suspensions.
June 2, 2011
The retail market for structured notes with principal protection has been growing in recent years. While these products often have reassuring names that include some variant of “principal protection...
May 25, 2011
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about after-hours trading for stocks. After-hours trading, also known as extended-hours...
April 13, 2011
The Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors -understand new rules about shareholder votes on Say-on-Pay and golden parachutes.

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