Investor Alerts & Bulletins

March 31, 2015
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about what happens when a publicly traded company declares bankruptcy.
March 18, 2015
The SEC’s Office of Investor Education is issuing this investor bulletin to help educate investors about the basics, including some of the potential risks, of options trading. Options trading may...
March 18, 2015
The SEC’s Office of Investor Education is issuing this investor bulletin to help you to understand what to expect when opening an options trading account with your broker-dealer.
March 2, 2015
La Office of Investor Education and Advocacy de la SEC publica este Boletín del Inversionista para ayudar a los inversionistas a proteger sus cuentas de corretaje en línea ante un posible fraude...
February 5, 2015
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert to warn investors about fraudulent investment schemes involving purportedly high-yield, risk-free...
February 3, 2015
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors protect their online brokerage accounts from fraud. As with all web-based accounts, investors...
January 12, 2015
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to inform investors of features – and some potential risks – of structured notes. While structured notes may...
January 6, 2015
La Office of Investor Education and Advocacy de la SEC y la Office for Oler Americans de la CFPB publican este boletín para que los inversionistas y los consumidores conozcan sobre el posible impacto...
January 5, 2015
Whether you’re a first-time investor or have been investing for years, here are fifteen tips to help you make more informed financial decisions and avoid common investment scams in 2015.
December 29, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about how they may be able to recover money if they have been harmed by a violation of the...
December 15, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to make investors aware of the miscellaneous fees charged by some brokers.
December 11, 2014
La Office of Investor Education and Advocacy de la SEC publica esta Alerta para el Inversionista para ayudarlos a tomar consciencia de los sistemas de inversión fraudulentos que podrían involucrar...
November 20, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about investment scams involving companies that claim their products or services relate to Ebola.
November 12, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors be better aware of fraudulent investment schemes that may involve social media. U.S. retail...
October 30, 2014
FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this alert to warn investors that some low-priced “penny” stocks that are aggressively promoted may in fact be stocks of...
October 22, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with a general overview of how the SEC’s Division of Enforcement conducts investigations.
October 2, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help military personnel make more informed savings and investing decisions and avoid common scams. Below is a...
September 24, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about investing in unregistered securities offerings, or private placements, under...
August 20, 2014
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...
August 18, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this investor bulletin to provide investors with resources to check out a financial professional’s background. Even if a close friend or...
August 4, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify potentially fraudulent unregistered offerings.
July 25, 2014
The U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (“OIEA”) is issuing this Investor Alert to warn investors about fraudsters who may attempt to manipulate...
July 17, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors basic information that may help them make informed financial decisions and avoid common...
July 11, 2014
The U.S. Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this updated Investor Alert to warn investors that fraudsters may use fake SEC correspondence...
June 27, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about transferring an investment account from one investment firm to another and to provide...

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