5 Ways Fraudsters May Lure Victims Into Scams Involving Crypto Asset Securities – Investor Alert
May 29, 2024
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert because fraudsters continue to exploit the popularity of crypto assets to lure retail investors into scams. Crypto assets may include assets commonly referred to as cryptocurrencies, crypto, coins, and tokens.
CategoryEnforcement
Suggestions for How Individual Investors Can Comment on SEC Rulemaking: Updated Investor Bulletin
May 14, 2024
From time to time, the SEC seeks comment from the public on a number of matters, including on the SEC’s rulemakings. The Office of Investor Education and Advocacy is issuing this Investor Bulletin to help explain the rulemaking process and to help promote greater individual investor input in Commission rulemaking proceedings.
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New “T+1” Settlement Cycle – What Investors Need To Know: Investor Bulletin
Mar 27, 2024
On February 15, 2023, the Securities and Exchange Commission adopted rule amendments to shorten the standard settlement cycle for most broker-dealer transactions from “T+2” to “T+1,” subject to certain exceptions. The compliance date for the rule amendments is May 28, 2024, at which point the standard settlement cycle will be T+1. The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Bulletin to explain the new “T+1” settlement cycle and how it will affect certain transactions you place with your brokerage firm.
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Investment Scams Involving Fake Form 4 Filings: Updated Investor Alert
Mar 15, 2024
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential investment schemes in which fraudsters send fake Forms 4 to investors who paid for the purported purchase of shares.
CategoryEnforcement
Spotting and Reporting Investment Scams Targeting Older Investors
Feb 5, 2024
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help law enforcement professionals and others identify if an older investor has been a victim of investment fraud, and to explain how to report it to appropriate authorities.
First, identify whether there may be investment fraud.
Here are some tell-tale signs:
CategoryEnforcement
Artificial Intelligence (AI) and Investment Fraud: Investor Alert
Jan 25, 2024
The Securities and Exchange Commission (SEC) Office of Investor Education and Advocacy, the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) are jointly issuing this Investor Alert to make investors aware of the increase of investment frauds involving the purported use of artificial intelligence (AI) and other emerging technologies. Individual investors should know that bad actors are using the growing popularity and complexity of AI to lure victims into scams.
CategoryEnforcement
Updated Investor Bulletin: How to Read a Mutual Fund or ETF Shareholder Report
Jan 19, 2024
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about mutual fund and ETF shareholder reports.
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Brokered CDs: Investor Bulletin
Nov 30, 2023
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to inform investors about the potential risks of some certificate of deposit accounts (CDs). When looking for a low-risk investment for their hard-earned cash, many investors turn to CDs. In combination with recent market volatility, advertisements for CDs with attractive yields have generated considerable interest.
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Making the Most of Military Benefits and Lump Sum Payments: Investor Bulletin
Nov 6, 2023
Service members or dependents may receive one-time lump sum payments for injuries, loss of life, insurance, or lawsuit proceeds. These payments can replace lost future income, so it’s important to take steps to ensure they provide a long-term benefit for your family, such as by reducing debt or bolstering savings and investments.
CategoryEnforcement
Investor Resilience, Crypto Assets, and Sustainable Finance: World Investor Week 2023 — Investor Bulletin
Sep 29, 2023
The SEC’s Office of Investor Education and Advocacy (OIEA), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), the Securities Investor Protection Corporation (SIPC), and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to provide investors with information about the three themes of World Investor Week 2023, a global campaign promoted by the International Organization of Securities Commissions (IOSCO) to raise awareness about the importance of investor…
CategoryEnforcement
Investment Management
Trading and Markets
Investment Management
Trading and Markets