Investor Alerts & Bulletins

December 7, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about investment adviser sponsored wrap fee programs. This bulletin provides...
December 5, 2017
The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy and the Office of Public Affairs have created an interactive brokerage account statement to help you better...
November 7, 2017
The SEC’s Office of Investor Education and Advocacy is warning investors about investment scams conducted through online paid-to-click (PTC) programs.
November 3, 2017
The Securities and Exchange Commission’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors understand Master Limited Partnerships, or MLPs. Because...
November 1, 2017
The SEC’s Office of Investor Education and Advocacy (OIEA) is warning investors not to make investment decisions based solely on celebrity endorsements.
October 17, 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...
October 12, 2017
The SEC’s Office of Investor Education and Advocacy and Office of Credit Ratings are issuing this Investor Bulletin to educate investors about credit ratings.
October 2, 2017
The SEC’s Office of Investor Education and Advocacy, the Commodity Futures Trading Commission, FINRA (the Financial Industry Regulatory Authority), and NASAA (the North American Securities...
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...

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