Investor Alerts and Bulletins

The SEC’s Office of Investor Education and Assistance is issuing this Investor Bulletin to educate investors about target date funds. This Investor Bulletin discusses only target date funds that are mutual funds or exchange-traded funds (ETFs) registered under the Investment Company Act of 1940. What are target date funds?

The SEC’s Office of Investor Education and Assistance is issuing this Investor Bulletin to help educate investors about lost and stolen securities and the Commission’s Lost and Stolen Securities Program (“LSSP”), a database for securities certificates reported lost, stolen, missing, or counterfeit.

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:

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 Assistance to help you make better informed investment decisions and avoid common scams in 2025.

The SEC’s Office of Investor Education and Assistance 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.

The SEC’s Office of Investor Education and Assistance 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.

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

The SEC’s Office of Investor Education and Assistance is issuing this Investor Bulletin to help educate investors about money market funds. 

The SEC’s Office of Investor Education and Assistance (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.

The SEC’s Office of Investor Education and Assistance (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…