Investor Alert: Be Vigilant for Possible Investment Scams Related to the California Wildfires

Jan 14, 2025
The SEC’s Office of Investor Education and Advocacy (OIEA) urges investors to be on the lookout for investment scams related to natural disasters, including the recent California wildfires. Fraudsters often seek to use disasters and other events, such as wildfires, hurricanes, floods, and oil spills, to lure victims into investment scams. These frauds may directly target individuals receiving money from insurance companies or other sources. These investment frauds can take many forms. For example, fraudsters may:
CategoryEnforcement

Ten Investment Tips for 2025 – Investor Bulletin

Dec 20, 2024
Whether you are a first-time investor or have been investing for years, here are 10 tips from the SEC’s Office of Investor Education and Advocacy to help you make better informed investment decisions and avoid common scams in 2025.
Category

Non-Publicly Traded Business Development Companies (BDCs): Investor Bulletin

Dec 13, 2024
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with information about business development companies, or BDCs, whose shares are not traded on national securities exchanges. It is important to understand them before investing. Learn more about BDCs whose shares are traded on national securities exchanges at Publicly Traded Business Development Companies (BDCs): Investor Bulletin.
CategoryInvestment Management

Publicly Traded Business Development Companies (BDCs): Investor Bulletin

Dec 13, 2024
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about business development companies, or BDCs, that are traded on national securities exchanges. It is important to understand them before investing.
CategoryInvestment Management

Beware of Fraudsters Impersonating Investment Professionals and Firms – Investor Alert

Dec 11, 2024
The Federal Bureau of Investigation (FBI) Criminal Investigative Division and the SEC’s Office of Investor Education and Advocacy (OIEA) warn investors of a significant uptick in tips, complaints, and referrals involving impersonations of investment professionals, including registered representatives and investment adviser representatives.
Category

Money Market Funds:  Investor Bulletin 

Nov 4, 2024
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about money market funds. 
CategoryInvestment Management

Natural Disasters and Investment Scams – Investor Alert

Oct 22, 2024
The SEC’s Office of Investor Education and Advocacy (OIEA) urges investors to be on the lookout for investment scams related to natural disasters, including recent hurricanes Helene and Milton. Fraudsters often seek to use disasters and other events, such as hurricanes, floods, oil spills, and wildfires, to lure victims into investment scams. These frauds may directly target individuals receiving money from insurance companies or other sources.
CategoryEnforcement

Technology and Digital Finance: World Investor Week 2024 — Investor Bulletin

Oct 7, 2024
The SEC’s Office of Investor Education and Advocacy (OIEA), the Commodity Futures Trading Commission’s (CFTC’s) Office of Customer Education and Outreach, the Financial Industry Regulatory Authority (FINRA), the North American Securities Administrators Association (NASAA), the National Futures Association (NFA), and the Securities Investor Protection Corporation (SIPC) are issuing this Investor Bulletin to provide investors with information for World Investor Week 2024, a global campaign promoted by the International Organization of Securities Commissions (IOSCO) to raise awareness about…
CategoryCorporation Finance
Enforcement
Investment Management
Trading and Markets

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.
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

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 Securities Commissions (IOSCO) to raise awareness about the importance of investor…
CategoryEnforcement
Investment Management
Trading and Markets