Investor Alerts and Bulletins

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…

The SEC’s Office of Investor Education and Assistance (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.Did you click on an advertisement online or on social media, and get added to a group chat focusing on investments?

The SEC’s Office of Investor Education and Assistance (OIEA) is providing tips for investors in the Thrift Savings Plan to help protect against fraud.

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.

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.

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.