Investor Alerts & Bulletins

October 30, 2018
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about variable life insurance and how it works. This bulletin provides a general description...
October 30, 2018
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about variable annuities and how they work.
October 29, 2018
The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors, including individuals who may receive lump sum payouts from insurance companies and others as a...
October 11, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) and the Commodity Futures Trading Commission’s (CFTC) Office of Customer Education and Outreach warn investors to watch out for false claims...
October 1, 2018
The SEC’s Office of Investor Education and Advocacy, FINRA, the Commodity Futures Trading Commission (CFTC), and the North American Securities Administrators Association (NASAA) are issuing this...
September 27, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force (RSTF) warn investors that providing your phone number and email address in response to an online investment...
September 7, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) is alerting investors to the risk that bad actors have sought to impersonate SEC personnel on social media. Please do not just assume you...
September 5, 2018
Scam artists often exploit “hot” industries to trick investors, including by making false promises of high returns with low risks. The SEC’s Office of Investor Education and Advocacy (OIEA) and...
August 14, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) urges investors to check the background of anyone selling or offering them an investment. No matter how good an investment may sound, verify...
August 8, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors of risks associated with self-directed Individual Retirement Accounts (self-directed IRAs). Self-...
August 6, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to inform investors about features and potential risks of non-traditional index funds.
August 6, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors basic information about index funds.
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.

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