Updated Investor Bulletin: How Fees and Expenses Affect Your Investment Portfolio
Jun 26, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this updated bulletin to educate investors about how fees you pay for investment services and products can impact the value of your portfolio.
Updated Investor Bulletin: How to Check Out Your Investment Professional
May 29, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this investor bulletin to explain how to check out an investment professional’s registration status and background.
Updated Investor Bulletin: Regulation A
May 24, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about Regulation A. Regulation A is an exemption from registration under the Securities Act that allows companies to raise money from the public in securities offerings of up to $50 million.
Investor Alert: Beware of Claims That the SEC Has Approved Offerings
Apr 30, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors of misrepresentations about SEC “approvals” of offerings.
Investor Alert: Watch Out for Fraudulent Digital Asset and “Crypto” Trading Websites
Apr 24, 2019
The SEC’s Office of Investor Education and Advocacy (OIEA) and the Commodity Futures Trading Commission’s Office of Customer Education and Outreach (CFTC) warn investors to scrutinize investment opportunities through websites purporting to operate advisory and trading businesses related to digital assets. These websites often contain “red flags” of fraud including claims of high guaranteed returns and promises that the investments carry little or even no risk.
Investor Bulletin: Social Sentiment Investing Tools —Think Twice Before Trading Based on Social Media
Apr 3, 2019
The SEC’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to inform investors about social sentiment investing tools and highlight their risks. This Bulletin provides tips to consider before using tools that analyze or aggregate information from social media sources to make investment decisions or attempt to predict changes in the stock market’s direction or in the price of a security.
Investor Bulletin: The Escheatment Process
Mar 12, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide basic information about the escheatment process for investment accounts.
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.
Investor Bulletin: 10 Investment Tips for 2019
Feb 12, 2019
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 in 2019.
Updated Investor Bulletin: Accredited Investors
Jan 31, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about what it means to be an “accredited investor.”