Investor Alert: Look Out For Possible Investment Scams Related to the Texas Floods

Jul 15, 2025
The SEC’s Office of Investor Education and Advocacy (OIEA) urges investors to be vigilant for investment scams related to natural disasters, including the recent Texas floods. Fraudsters often seek to use disasters and other events, such as floods, wildfires, and hurricanes 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:
CategoryEnforcement

Making Sense of Financial Professional Designations: Investor Bulletin

Jun 20, 2025
The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy, the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to help investors better understand the designations financial professionals use.
CategoryInvestment Management
Trading and Markets

Cash Sweep Programs for Uninvested Cash in Your Investment Accounts – Investor Bulletin

May 14, 2025
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about cash sweep programs, which broker-dealers and investment advisers (“investment firms”) offer to manage uninvested cash held in accounts by their investment firms. This Investor Bulletin describes these cash sweep programs and suggests questions you may want to ask yourself to help you decide how to best manage the uninvested cash in your investment account.
CategoryInvestment Management
Trading and Markets

Characteristics of Mutual Funds and Exchange-Traded Funds (ETFs) – Investor Bulletin

Apr 29, 2025
The Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors understand important similarities and differences between mutual funds and ETFs.
CategoryInvestment Management

Target Date Funds – Investor Bulletin

Mar 25, 2025
The SEC’s Office of Investor Education and Advocacy 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?
CategoryInvestment Management

Updated Investor Bulletin: Lost and Stolen Securities

Mar 6, 2025
The SEC’s Office of Investor Education and Advocacy 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.
CategoryEnforcement
Trading and Markets

Investor Alert: Be Vigilant for Possible Investment Scams Related to the California Wildfires

Jan 14, 2025
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:
CategoryEnforcement

Ten Investment Tips for 2025 – Investor Bulletin

Dec 20, 2024
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 Advocacy to help you make better informed investment decisions and avoid common scams in 2025.
Category

Non-Publicly Traded Business Development Companies (BDCs): Investor Bulletin

Dec 13, 2024
The SEC’s Office of Investor Education and Advocacy 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.
CategoryInvestment Management

Publicly Traded Business Development Companies (BDCs): Investor Bulletin

Dec 13, 2024
The SEC’s Office of Investor Education and Advocacy 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.
CategoryInvestment Management