Fractional Share Investing – Buying a Slice Instead of the Whole Share

Nov 9, 2020
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about investing in fractional shares. What are Fractional Shares? A fractional share is when you own less than one full share of a stock or other security.
CategoryTrading and Markets

Investor Bulletin: Please Consider Adding a Trusted Contact to Your Account

Mar 4, 2020
The SEC’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to urge you to consider adding a “trusted contact person” to your brokerage account.
CategoryTrading and Markets

Investor Bulletin: Questions to Ask when Hiring an Investment Professional

Jun 27, 2019
Before investing in stock or other securities, you may decide to seek the help of an investment professional. Selecting this investment professional is an important decision. This Investor Bulletin provides you with questions you should ask before hiring any investment professional.
CategoryTrading and Markets

Investor Bulletin: Trading Suspensions – What Happens When They End?

Mar 4, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to answer some of the questions we receive from investors about what happens at the end of a trading suspension.
CategoryTrading and Markets

Investor Bulletin: Trading Suspensions

Dec 3, 2018
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 securities laws generally allow the SEC to suspend trading in any stock for up to ten business days. This bulletin answers some of the typical questions we receive from investors about trading suspensions. A list of companies whose stock is currently subject to an SEC trading suspension, or which previously has been subject to an SEC trading suspension, may be found here.
CategoryTrading and Markets

Investor Bulletin: Understanding Margin Accounts

May 14, 2018
The SEC’s Office of Investor Education and Advocacy is publishing this Investor Bulletin to educate investors about the use of margin accounts to buy securities, including the related risks.
CategoryTrading and Markets

Investor Bulletin: Microcap Stock Basics (Part 3 of 3: Risk)

Oct 21, 2016
The SEC’s Office of Investor Education and Advocacy is issuing a series of three Investor Bulletins to provide investors with important information to consider before investing in microcap stocks, often known as penny stocks. The Bulletins provide a general overview of microcap stocks and their marketplaces, a list of sources to research microcap stocks, and a list of “red flags” of fraud and other important factors to consider before making an investment in microcap stocks.
CategoryTrading and Markets

Investor Bulletin: Microcap Stock Basics (Part 1 of 3: General Information)

Sep 30, 2016
The SEC’s Office of Investor Education and Advocacy is issuing a series of three Investor Bulletins to provide investors with important information to consider before investing in microcap stocks, often known as penny stocks. The Bulletins provide a general overview of microcap stocks and their marketplaces, a list of sources to research microcap stocks, and a list of “red flags” of fraud and other important factors to consider before making an investment in microcap stocks.
CategoryTrading and Markets