Investor Alerts & Bulletins

August 20, 2015
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with a general overview of the SEC’s mission, responsibilities, and organizational structure.
August 5, 2015
SEC staff is issuing this updated Investor Alert because we are aware of fraudulent communications, including official looking documents such as bogus subpoenas, that purport to be from the...
July 29, 2015
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about fraudsters who promote a stock to drive up the stock price and then sell their own shares at...
July 8, 2015
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about Regulation A. The SEC has recently amended Regulation A in order to create a new...
June 17, 2015
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about fantasy stock trading and other similar websites that may violate federal securities laws...
June 3, 2015
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert to warn investors that fraudsters may misrepresent their backgrounds and experience to lure investors into...
June 1, 2015
The SEC’s Office of Investor Education and Advocacy and the CFPB’s Office for Older Americans are issuing this bulletin to help investors and consumers understand the potential impact of diminished...
May 11, 2015
SEC staff is issuing this updated Investor Alert because we are aware of continuing fraudulent solicitations that purport to be affiliated with or sponsored by the Securities and Exchange Commission.
May 8, 2015
The SEC’s Office of Investor Education and Advocacy (OIEA) and the Financial Industry Regulatory Authority, Inc. (FINRA) are issuing this alert to provide investors with a general overview of...
April 3, 2015
The SEC’s Office of Investor Education and Advocacy is issuing this updated Investor Alert to help investors identify fraudsters’ unauthorized use of the SEC seal as a way to convince prospective...
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 27, 2015
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate uniformed services members about the Roth Thrift Savings Plan.
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...
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 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.

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