Fraudsters Posing as Brokers or Investment Advisers – Investor Alert

Jul 27, 2021
The FBI Criminal Investigative Division and the United States Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) warn of fraudsters swindling investors while pretending to be registered brokers or investment advisers.
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Investor Alert: Don’t get “ished” – Tips to Protect Your Investment and Financial Accounts from Phishing, Smishing, and Vishing Scams

Jul 1, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about common scams fraudsters may use to compromise investment, financial, or other personal accounts.  Investors should always take steps to safeguard their personal financial information (e.g., social security number, financial account numbers, phone number, e-mail address, or usernames and passwords for online financial accounts). These security tips can help ensure that your investment, financial, or other personal accounts remain secure. 
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Updated Investor Bulletin: Protecting Your Online Investment Accounts from Fraud

Jul 1, 2021
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 should take precautions to help ensure that their online brokerage accounts remain secure. These online security tips can help.
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Investor Alert: Identity Theft, Data Breaches and Your Investment Accounts

Jul 1, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to provide investors with important steps to take regarding their investment accounts if they become victims of identity theft or a data breach. Investors should always take steps to safeguard their personal financial information (e.g., social security number, financial account numbers, phone number, e-mail address, or usernames and passwords for online financial accounts). However, if identity theft or a data breach compromises your personal financial information, here are some important steps to take…
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Investor Bulletin: Understanding Margin Accounts

Jun 10, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about the use of margin accounts to buy securities and their related risks.
CategoryTrading and Markets

Funds Trading in Bitcoin Futures – Investor Bulletin

Jun 10, 2021
The Securities and Exchange Commission’s (SEC’s) Office of Investor Education and Advocacy (OIEA) and the Commodity Futures Trading Commission’s (CFTC’s) Office of Customer Education and Outreach (OCEO) urge investors considering a fund with exposure to the Bitcoin futures market to weigh carefully the potential risks and benefits of the investment. Among other things, investors should understand that Bitcoin, including gaining exposure through the Bitcoin futures market, is a highly speculative investment. As such, investors should consider the volatility of Bitcoin and the Bitcoin futures…
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Investor Bulletin: How to Open a Brokerage Account

Jun 10, 2021
The Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this Investor Bulletin to help you understand what to expect when opening a brokerage account, including what information you will need to provide, what decisions you will be asked to make, and what questions you should ask your broker.
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Leveraged Investing Strategies – Know the Risks Before Using These Advanced Investment Tools

Jun 10, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the risks of using leveraged investment strategies.
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What You Need to Know About SPACs – Updated Investor Bulletin

May 25, 2021
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. 
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Municipal Bonds

Apr 28, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate individual investors about municipal bonds.
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Investor Bulletin: The Municipal Securities Market

Apr 28, 2021
The SEC’s Offices of Investor Education and Advocacy and Municipal Securities are issuing a series of three Investor Bulletins to help educate investors about the municipal securities market.  This Bulletin provides an overview of the municipal securities market, including the different types of municipal issuers, how the municipal securities market is regulated, and what types of disclosures investors may be able to obtain about municipal securities.
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Investor Bulletin: Municipal Bonds – Asset Allocation, Diversification, and Risk

Apr 28, 2021
The SEC’s Offices of Investor Education and Advocacy and Municipal Securities are issuing a series of three Investor Bulletins to help educate investors about the municipal securities market.  This Bulletin provides a general overview on asset allocation and diversification in an investment portfolio, with a focus on the role of municipal bonds.
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INVESTOR BULLETIN Municipal Bonds: Understanding Credit Risk

Apr 28, 2021
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 be called notes or certificates of participation. Credit risk—or default risk—is the risk that interest and/or principal on the securities will not be paid on time and in full. Investors need to know who is responsible for repayment of the securities and the financial condition of that entity to assess the credit risk and decide whether to purchase the securities. It is important to look beyond…
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Investor Bulletin: Municipal Bonds – An Overview

Apr 28, 2021
The SEC’s Offices of Investor Education and Advocacy and Municipal Securities are issuing a series of three Investor Bulletins to help educate investors about the municipal securities market.  This Bulletin provides an overview of municipal bonds, including the different types of municipal bonds, what information an investor should review before investing in municipal bonds and where investors can find information about them.
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Crowdfunding for Investors – Updated Investor Bulletin

Apr 14, 2021
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.
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Accredited Investors – Updated Investor Bulletin

Apr 14, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about what it means to be an “accredited investor.” 
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Regulation A – Updated Investor Bulletin

Apr 14, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about Regulation A. Regulation A is an exemption from registration under the Securities Act that allows companies to raise money from the public in securities offerings of up to $50 million.
CategoryCorporation Finance

Investor Bulletin: Characteristics of Mutual Funds and Exchange-Traded Funds (ETFs)

Apr 2, 2021
The Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about mutual funds and ETFs. 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 address other types of exchange-traded products that are not registered under the 1940 Act, such as exchange traded commodity funds or exchange-traded notes.
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Investor Bulletin: Mutual Fund Conversion to Exchange-Traded Fund (ETF)

Apr 2, 2021
Some mutual funds have announced plans to convert to ETFs. ETFs are similar to mutual funds. They both are pooled investment vehicles that invest in a variety of investments, but they are structured differently. The Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about certain considerations in connection with these conversions.
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Celebrity Involvement with SPACs – Investor Alert

Mar 10, 2021
The SEC’s Office of Investor Education and Advocacy (OIEA) cautions investors not to make investment decisions related to SPACs based solely on celebrity involvement. 
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Environmental, Social and Governance (ESG) Funds – Investor Bulletin

Feb 26, 2021
Funds such as mutual funds and ETFs that focus on environmental, social, and governance principles (ESG Funds) have gained popularity with investors over time. Investors may hear about these funds from financial professionals, from investment-focused online sites, or even from popular media. The SEC's Office of Investor Education and Advocacy is issuing this bulletin to educate investors about ESG Funds, including important questions to ask if considering whether investing in them is right for you.  
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Social Isolation and the Risk of Investment Fraud

Feb 9, 2021
FINRA, the North American Securities Administrators Association (NASAA), and the staff of the SEC’s Office of Investor Education and Advocacy have joined to raise awareness that increased social isolation during the COVID-19 pandemic can have a devastating impact on senior investors.
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Investor Alert: Thinking About Investing in the Latest Hot Stock? Understand the Significant Risks of Short-Term Trading Based on Social Media

Jan 29, 2021
The SEC’s Office of Investor Education and Advocacy warns investors of the significant risks of short-term investing based on social media, especially in volatile markets, and provides tips for long-term investing.
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Updated Investor Bulletin: Insider Transactions and Forms 3, 4, and 5

Jan 26, 2021
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 (such as officers, directors, and those that hold more than 10% of any class of a company’s securities, together we’ll call, “insiders”) to report purchases, sales, and holdings of their company’s securities by filing Forms 3, 4, and 5.
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How to Read an 8-K

Jan 26, 2021
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? Information about these events and many more are found in a document called a current report on Form 8-K.
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