Updated Investor Bulletin: Investing in an IPO

Oct 14, 2022
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 not lawfully offer or sell shares unless the transaction has been registered with the SEC or an exemption applies...
CategoryCorporation Finance

Updated Investor Bulletin: Regulation Crowdfunding for Investors

Oct 14, 2022
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.
CategoryCorporation Finance

Updated Investor Bulletin: Crowdfunding Investment Limits Increase

Oct 14, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to advise investors about the inflation-adjusted increase in the investment limits for securities-based crowdfunding.
CategoryCorporation Finance

Investor Resilience – World Investor Week 2022: Investor Bulletin

Oct 3, 2022
For World Investor Week 2022, investors, investment professionals, teachers, parents, researchers, and others are encouraged to make a special effort to promote investor resilience and sustainable finance.
CategoryCorporation Finance
Enforcement
Investment Management
Trading and Markets

Private Placements under Regulation D – Updated Investor Bulletin

Aug 17, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about investing in unregistered securities offerings, sometimes called private placements, under Regulation D of the Securities Act. 
CategoryCorporation Finance

Tips for Teachers: Investing for Retirement -- Updated Investor Bulletin

Jul 18, 2022
As a teacher, you have a number of choices to make when investing for retirement. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help teachers make informed investment decisions, including about 403(b) and 457(b) plans -- tax-advantaged retirement savings programs often offered to teachers of public educational institutions.  More information for teachers is available in our A Guide for Teachers: Saving and Investing for K-12 Educators.
CategoryCorporation Finance
Enforcement
Investment Management
Trading and Markets

Investor Bulletin: Crypto Asset Interest-bearing Accounts

Feb 14, 2022
The SEC’s Office of Investor Education and Advocacy and the Division of Enforcement’s Retail Strategy Task Force are issuing this Investor Bulletin to educate investors about risks with accounts that pay interest on crypto asset deposits.
CategoryCorporation Finance
Enforcement
Trading and Markets

Key Topics for World Investor Week 2021: Investor Bulletin

Oct 4, 2021
The SEC’s Office of Investor Education and Advocacy, the Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA), and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to highlight some key topics for World Investor Week 2021, a global campaign to raise awareness about the importance of investor education and protection.  From October 4-10, 2021, investors, investment professionals, teachers, parents, researchers, and others are enc
CategoryCorporation Finance
Enforcement
Investment Management
Trading and Markets

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.” 
CategoryCorporation Finance

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

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.
CategoryCorporation Finance

How to Read a 10-K/10-Q

Jan 25, 2021
If you want to follow or invest in a U.S. public company, you can find a wealth of information in the company’s annual report on Form 10-K. Among other things, the 10-K offers a detailed picture of a company’s business, the risks it faces, and the operating and financial results for the fiscal year. Company management also discusses its perspective on the business results and what is driving them.
CategoryCorporation Finance

Tips for World Investor Week 2020: Investor Bulletin

Oct 5, 2020
The SEC’s Office of Investor Education and Advocacy, the Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA), and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to highlight key messages from World Investor Week 2020, a global campaign to raise awareness about the importance of investor education and protection.  From October 5-11, 2020, investors, investment professionals, teachers, parents, researchers, and others are encouraged to make a special ef
CategoryCorporation Finance
Enforcement
Trading and Markets

Broadly Advertised Investments – Investor Alert

Jul 14, 2020
The SEC’s Office of Investor Education and Advocacy (OIEA) and the Division of Enforcement’s Retail Strategy Task Force urge investors to be mindful when investing in offerings that are broadly advertised.
CategoryCorporation Finance

Initial Exchange Offerings (IEOs) – Investor Alert

Jan 14, 2020
The SEC’s Office of Investor Education and Advocacy is issuing this alert to urge investors to use caution before investing in so-called “initial exchange offerings” through online trading platforms.
CategoryCorporation Finance

Updated Investor Bulletin: Master Limited Partnerships – An Introduction

Nov 3, 2017
The Securities and Exchange Commission’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors understand Master Limited Partnerships, or MLPs.  Because investing in an MLP may be unfamiliar, investors should carefully consider potential benefits – and risks – before making an investment decision.
CategoryCorporation Finance

Investor Alert: Public Companies Making ICO-Related Claims

Aug 28, 2017
The SEC’s Office of Investor Education and Advocacy is warning investors about potential scams involving stock of companies claiming to be related to, or asserting they are engaging in, Initial Coin Offerings (or ICOs).  Fraudsters often try to use the lure of new and emerging technologies to convince potential victims to invest their money in scams.  These frauds include “pump-and-dump” and market manipulation schemes involving publicly traded companies that claim to provide exposure to these new technologies.
CategoryCorporation Finance
Enforcement

Investor Bulletin: Initial Coin Offerings

Jul 25, 2017
Developers, businesses, and individuals increasingly are using initial coin offerings, also called ICOs or token sales, to raise capital.  These activities may provide fair and lawful investment opportunities.  However, new technologies and financial products, such as those associated with ICOs, can be used improperly to entice investors with the promise of high returns in a new investment space. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to make investors aware of potential risks of participating in ICOs.
CategoryCorporation Finance
Enforcement

Investor Bulletin: Be Cautious of SAFEs in Crowdfunding

May 9, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about a type of  security, often described as a SAFE (a “Simple Agreement for Future Equity”), that may be offered in crowdfunding offerings.
CategoryCorporation Finance

Investor Bulletin: Publicly Traded REITs

Aug 30, 2016
/**/ The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about investing in publicly traded REITs.      What are REITs?
CategoryCorporation Finance

Investor Bulletin: Non-traded REITs

Aug 31, 2015
The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about investing in non-traded REITs.
CategoryCorporation Finance

Investor Bulletin: Bankruptcy for a Public Company

Mar 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.
CategoryCorporation Finance

Investor Alert: Marijuana-Related Investments

May 16, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential risks involving investments in marijuana-related companies.
CategoryCorporation Finance
Enforcement

Investor Alert: Advertising for Unregistered Securities Offerings

Sep 23, 2013
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to educate individual investors about advertisements and announcements for investment opportunities in certain securities offerings. General advertising is permitted in certain offerings as a result of rules adopted by the SEC as required by the Jumpstart Our Business Startups (JOBS) Act.
CategoryCorporation Finance

What Are Corporate Bonds?

Jun 4, 2013
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to offer basic information about corporate bonds.
CategoryCorporation Finance