Investor Alert: Identity Theft, Data Breaches and Your Investment Accounts

Nov 17, 2022
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.
CategoryEnforcement
Trading and Markets

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

Investor Bulletin: Performance Claims

Sep 15, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about investment performance claims.  If you are in the market for an investment, you will likely come across sales and marketing materials that describe an investment’s performance.  You should know that performance information can be presented in many different ways.  Before making a decision, always make sure you understand how any performance claim is calculated and presented – and whether or not the claim is reliable and applies to your particular circumstances.  Here are a few…
CategoryInvestment Management
Trading and Markets

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
Trading and Markets

Broker-Dealer/Customer Arbitration: Investor Bulletin

Jun 14, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the arbitration and mediation processes involving a customer dispute with a broker-dealer. 
CategoryTrading and Markets

Extended-Hours Trading: Investor Bulletin

Jun 6, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about extended-hours trading for stocks. Extended-hours trading, refers to trading that occurs outside of regular trading hours. Regular trading hours for stocks traded on exchanges and certain other markets are from 9:30 a.m. to 4:00 p.m. Eastern Time. Extended-hours trading sessions may occur before or after regular trading hours. The duration of extended-hours trading sessions varies between markets and trading venues. Investors should contact their brokerage firms to…
CategoryTrading and Markets

Investor Bulletin – Top 10 Investment Tips for College Students

May 4, 2022
One of the best ways to build wealth is by saving and investing over a long period of time. The earlier you start, the easier it is for your money to grow. Opening your first investment account is a key step in beginning your investment journey. As a college student, you may receive offers to open an investment account. These offers could come from your bank, from someone you or your family know, or even at a campus coffee shop. They also can include incentives, like free stock or cash to invest, as a way to entice you to sign up.
CategoryEnforcement
Trading and Markets

Investor Bulletin: Interested in Margin? Understand Interest.

Apr 7, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors ask informed questions about the interest a brokerage firm charges for margin accounts.
CategoryTrading and Markets

Investor Bulletin: Trading Suspensions

Dec 14, 2021
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

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

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

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: 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