Social Media and Stock Tip Scams – Investor Alert
Sep 30, 2024
The SEC’s Office of Investor Education and Advocacy (OIEA) warns investors that scams involving stock recommendations may be conducted through social media. Never make investment decisions based solely on information from social media platforms or apps.
CategoryEnforcement
Protect Your Thrift Savings Plan (TSP) Account From Fraud -- Investor Alert
Sep 26, 2024
The SEC’s Office of Investor Education and Advocacy (OIEA) is providing tips for investors in the Thrift Savings Plan to help protect against fraud.
CategoryEnforcement
Relationship Investment Scams – Investor Alert
Sep 10, 2024
The SEC’s Office of Investor Education and Advocacy (OIEA), the Commodity Futures Trading Commission’s Office of Customer Education and Outreach (OCEO), the Financial Industry Regulatory Authority (FINRA), and the North American Securities Administrators Association (NASAA) are issuing this Investor Alert to warn investors about relationship investment scams, where fraudsters — including criminals and other bad actors — often hide their true identities, reach out to unsuspecting targets (often online or through text messages), gain their trust over time, and then defrau
CategoryEnforcement
Exchange-Traded Products (ETPs) Providing Exposure to Bitcoin and Ether – Investor Bulletin
Sep 9, 2024
The SEC’s Office of Investor Education and Advocacy (OIEA) urges investors to weigh carefully the potential risks and benefits if considering any investment product that provides exposure to the price of bitcoin or ether. Investors should understand that bitcoin and ether are highly speculative investments. This includes when exposure is gained through an exchange-traded product (ETP). Investors should consider the volatility of the price of bitcoin and ether.
CategoryCorporation Finance
Investment Management
Trading and Markets
Investment Management
Trading and Markets
What You Need to Know About SPACs – Updated Investor Bulletin
Aug 21, 2024
The SEC’s Office of Investor Education and Advocacy (OIEA) wants to educate investors about investing in SPACs.
You may have heard the term SPAC recently referred to in the financial or other news.
Category
Investor Bulletin: How Victims of Securities Law Violations May Recover Money
Aug 14, 2024
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Bulletin to inform investors about how they may be able to recover money if they have been harmed by a violation of the federal securities laws.
CategoryEnforcement
Pre-IPO Investment Scams – Investor Alert
Jun 7, 2024
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 shares of companies, including social media and technology companies such as Facebook and Twitter. SEC staff is aware of a number of complaints and inquiries about these types of frauds, which may be promoted on social media and internet sites, by telephone, email, in person, or by other means.
CategoryEnforcement
5 Ways Fraudsters May Lure Victims Into Scams Involving Crypto Asset Securities – Investor Alert
May 29, 2024
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert because fraudsters continue to exploit the popularity of crypto assets to lure retail investors into scams. Crypto assets may include assets commonly referred to as cryptocurrencies, crypto, coins, and tokens.
CategoryEnforcement
Suggestions for How Individual Investors Can Comment on SEC Rulemaking: Updated Investor Bulletin
May 14, 2024
From time to time, the SEC seeks comment from the public on a number of matters, including on the SEC’s rulemakings. The Office of Investor Education and Advocacy is issuing this Investor Bulletin to help explain the rulemaking process and to help promote greater individual investor input in Commission rulemaking proceedings.
Category
New “T+1” Settlement Cycle – What Investors Need To Know: Investor Bulletin
Mar 27, 2024
On February 15, 2023, the Securities and Exchange Commission adopted rule amendments to shorten the standard settlement cycle for most broker-dealer transactions from “T+2” to “T+1,” subject to certain exceptions. The compliance date for the rule amendments is May 28, 2024, at which point the standard settlement cycle will be T+1. The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Bulletin to explain the new “T+1” settlement cycle and how it will affect certain transactions you place with your brokerage firm.
Category
Investment Scams Involving Fake Form 4 Filings: Updated Investor Alert
Mar 15, 2024
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential investment schemes in which fraudsters send fake Forms 4 to investors who paid for the purported purchase of shares.
CategoryEnforcement
Spotting and Reporting Investment Scams Targeting Older Investors
Feb 5, 2024
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help law enforcement professionals and others identify if an older investor has been a victim of investment fraud, and to explain how to report it to appropriate authorities.
First, identify whether there may be investment fraud.
Here are some tell-tale signs:
CategoryEnforcement
Artificial Intelligence (AI) and Investment Fraud: Investor Alert
Jan 25, 2024
The Securities and Exchange Commission (SEC) Office of Investor Education and Advocacy, the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) are jointly issuing this Investor Alert to make investors aware of the increase of investment frauds involving the purported use of artificial intelligence (AI) and other emerging technologies. Individual investors should know that bad actors are using the growing popularity and complexity of AI to lure victims into scams.
CategoryEnforcement
Updated Investor Bulletin: How to Read a Mutual Fund or ETF Shareholder Report
Jan 19, 2024
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about mutual fund and ETF shareholder reports.
Category
Brokered CDs: Investor Bulletin
Nov 30, 2023
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to inform investors about the potential risks of some certificate of deposit accounts (CDs). When looking for a low-risk investment for their hard-earned cash, many investors turn to CDs. In combination with recent market volatility, advertisements for CDs with attractive yields have generated considerable interest.
Category
Making the Most of Military Benefits and Lump Sum Payments: Investor Bulletin
Nov 6, 2023
Service members or dependents may receive one-time lump sum payments for injuries, loss of life, insurance, or lawsuit proceeds. These payments can replace lost future income, so it’s important to take steps to ensure they provide a long-term benefit for your family, such as by reducing debt or bolstering savings and investments.
CategoryEnforcement
Investor Resilience, Crypto Assets, and Sustainable Finance: World Investor Week 2023 — Investor Bulletin
Sep 29, 2023
The SEC’s Office of Investor Education and Advocacy (OIEA), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), the Securities Investor Protection Corporation (SIPC), and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to provide investors with information about the three themes of World Investor Week 2023, a global campaign promoted by the International Organization of Securiti
CategoryEnforcement
Investment Management
Trading and Markets
Investment Management
Trading and Markets
Updated Investor Bulletin: An Introduction to ABLE Accounts
Sep 15, 2023
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about ABLE accounts.
CategoryInvestment Management
Subscription-based Advisory Fees: Investor Bulletin
Sep 6, 2023
An increasing number of investment advisers are charging clients subscription-based fees, rather than more traditional asset-based fees, for their investment management services. Many of these advisers are robo-advisers who market their services to new investors who may not yet have an investment account or may only have a small amount to invest. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors, especially new investors, about these types of fees.
CategoryInvestment Management
Updated Investor Bulletin: 10 Questions to Consider Before Opening a 529 Account
Aug 31, 2023
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to answer questions that may arise when investing in a 529 plan account. Please also see our companion Bulletin, An Introduction to 529 Plans, for background information on the plans.
CategoryInvestment Management
Updated Investor Bulletin: An Introduction to 529 Plans
Aug 31, 2023
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with background information on 529 plans. Please also see our companion Bulletin for a few questions to consider before opening a 529 plan account.
CategoryInvestment Management
Updated Investor Bulletin: Leveraged and Inverse ETFs
Aug 29, 2023
The SEC staff and FINRA are issuing this Alert because we believe individual investors may be confused about the performance objectives of leveraged and inverse exchange-traded funds (ETFs).
CategoryInvestment Management
Natural Disasters and Investment Scams – Investor Alert
Aug 16, 2023
The SEC’s Office of Investor Education and Advocacy (OIEA) urges investors to be on the lookout for scams related to the recent Hawaii wildfires.
Bad actors may use natural disasters, including the recent Hawaii wildfires, to lure victims into investment scams. These frauds may directly target individuals receiving money from insurance companies or other sources. They can take many forms.
CategoryEnforcement
Investors in the Crypto Asset Markets Should Exercise Caution With Alternatives to Financial Statement Audits: Investor Bulletin
Jul 27, 2023
The SEC’s Office of Investor Education and Advocacy, along with the Office of the Chief Accountant, is issuing this Investor Bulletin to alert investors in the crypto asset markets of the risk of relying on audits not conducted following SEC rules and Public Company Accounting Oversight Board (“PCAOB”) standards.
Category
Investor Bulletin: Holding Your Securities
Jul 12, 2023
The SEC’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to provide information on the ways you might be able to hold your securities.
CategoryTrading and Markets