Investor Alerts & Bulletins

April 9, 2013
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to inform investors of recent safeguards approved by the SEC to address market volatility in U.S. equity markets...
April 3, 2013
Mutual funds that are registered with the SEC must send reports to their shareholders on a semiannual basis. the semiannual report covers the first six months of the fund's fiscal year, while the...
March 4, 2013
SEC-registered investment advisers who have custody of their clients’ funds or securities must safeguard those funds as required by the SEC’s “custody rule.” The custody rule is designed to provide...
February 27, 2013
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about SEC Forms 3, 4, and 5. The federal securities laws require certain individuals (...
February 25, 2013
Historically, an initial public offering, or IPO, has referred to the first time a company offers its shares of capital stock to the general public. Under the federal securities laws, a company may...
December 26, 2012
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about assessing credit risks they face when purchasing municipal bonds, which may also...
December 6, 2012
The SEC’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to provide individual investors with a few suggestions...
November 29, 2012
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...
October 3, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about hedge funds.
September 27, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide you with guidance on how to read confirmation statements.
September 26, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about affinity fraud, a type of investment scam that preys upon members of identifiable...
September 7, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about lost and stolen securities and the Commission’s Lost and Stolen Securities...
August 28, 2012
The SEC’s Office of Investor Education and Advocacy designed Investor.gov with the individual investor in mind. Whether you are investing on your own, working with a financial professional, planning...
August 17, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about American Depositary Receipts (“ADRs”). An ADR is a security that represents shares of...
August 10, 2012
This Investor Bulletin discusses only ETFs that are registered as open-end investment companies or unit investment trusts under the Investment Company Act of 1940 (the “1940 Act”). It does not...
July 26, 2012
Individual investors in the United States have access to a wide selection of investment opportunities, including international investments. The SEC’s Office of Investor Education and Advocacy is...
May 22, 2012
A company has just released its quarterly earnings. Another company has auditor news that could raise a red flag, and a third company is filing for bankruptcy. Where can you find more facts?...
May 11, 2012
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...
May 1, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide seniors who use social media with a few tips to help them do so more safely and to help them avoid...
April 24, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this updated Investor Alert to warn investors about investment scams that purport to offer investors the opportunity to buy pre-IPO...
March 28, 2012
Over the next few months, investors can expect to receive proxy materials for annual shareholder meetings or a related notice advising shareholders how they can access these materials. Shareholder...
February 23, 2012
SEC staff is issuing this updated Investor Alert because they have seen a recent surge of complaints about a scheme where fraudsters posing as SEC employees call potential victims on the telephone...
January 5, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with tips they should consider when establishing an account on a social media website...
December 22, 2011
Some suggestions on how to become a smarter investor in 2012.
December 20, 2011
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to make investors aware of upcoming changes in the registration rules for some investment advisers.

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