Investor Alerts & Bulletins

September 25, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide tips on what to consider when opening an investment advisory account. Investment advisory accounts...
September 14, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about the professional awards, rankings, and designations that financial...
September 12, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors regarding the rules that apply to trading securities in cash accounts and to highlight...
September 6, 2017
The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to alert investors, including individuals who may receive lump sum payouts from insurance companies and others as a...
August 28, 2017
The SEC’s Office of Investor Education and Advocacy is warning investors about potential scams involving stock of companies claiming to be related to, or asserting they are engaging in, Initial Coin...
August 22, 2017
On March 22, 2017, the Securities and Exchange Commission amended Exchange Act Rule 15c6-1 to shorten the standard settlement cycle for broker-dealers transaction from “T+3” to “T+2,” subject to...
July 31, 2017
The SEC’s Office of Investor Education and Advocacy (OIEA) and Broker-Dealer Task Force are warning the more than 5 million Thrift Savings Plan (TSP) participants, and investors in other federal...
July 25, 2017
Developers, businesses, and individuals increasingly are using initial coin offerings, also called ICOs or token sales, to raise capital. These activities may provide fair and lawful investment...
July 20, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with educational information about the basics of retirement investing through 403(b) and 457...
July 13, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the difference between using “stop,” “stop limit” and “trailing stop” orders to...
July 12, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the different types of orders they can use to buy and sell stocks through a...
May 10, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about a new investing opportunity in the form of securities-based crowdfunding.
May 9, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about a type of security, often described as a SAFE (a “Simple Agreement for Future Equity...
May 9, 2017
It can be tricky to tell if a senior has been a victim of investment fraud or to know what to do when it happens. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin...
May 5, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to advise investors about the inflation-adjusted increase in the investment limits for securities-based...
April 26, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors protect their online investment accounts from fraud. As with all web-based accounts, investors...
April 19, 2017
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Bulletin to inform investors about how OIEA handles investor complaints and other ways investors may be able to...
April 10, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors that seemingly independent commentary on investment research websites may in fact be part of paid...
March 8, 2017
Whether you are investing on your own, working with a financial professional, planning your retirement, or just interested in learning more about investing generally, here are ten ways you can use...
February 23, 2017
The last few years have seen the growth in availability and popularity of automated digital investment advisory programs (often called “robo-advisers”). These programs allow individual investors to...
February 3, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to inform you about features, and some potential risks, of alternative mutual funds.
January 12, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about money market funds, including money market funds’ investment objectives and risks...
January 9, 2017
The SEC’s Office of Investor Education and Advocacy (OIEA) and Broker-Dealer Task Force are jointly issuing this Investor Alert to help investors identify excessive trading in their brokerage...
December 27, 2016
Whether you are a first-time investor or have been investing for years, here are 10 tips from the SEC’s Office of Investor Education and Advocacy to help you make better informed investment decisions...
December 20, 2016
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the arbitration and mediation processes involving a customer dispute with a...

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