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 are not approved for sale through the broker’s firm.

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 questions to consider before opening a 529 plan account.

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, An Introduction to 529 Plans, for background information on the plans.

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 Service (IRS) guidance before making investment decisions about a health savings account, because receiving favorable tax treatment is an important part of a health savings account.  

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) to help protect investors from financial exploitation and fraud.

Apr 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.

Apr 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 purchase stock or confirm trades – but really just steal investors’ money. If you receive an email or phone call claiming to be from the SEC to “confirm” your purchase of a security or to help you trade a stock, it is likely a scam. Do not send them money or give them your account information.

Mar 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.

Feb 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.