Updated Investor Bulletin: An Introduction to ABLE Accounts
Sep 15, 2023
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about ABLE accounts.
CategoryInvestment Management
Subscription-based Advisory Fees: Investor Bulletin
Sep 6, 2023
An increasing number of investment advisers are charging clients subscription-based fees, rather than more traditional asset-based fees, for their investment management services. Many of these advisers are robo-advisers who market their services to new investors who may not yet have an investment account or may only have a small amount to invest. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors, especially new investors, about these types of fees.
CategoryInvestment Management
Updated Investor Bulletin: 10 Questions to Consider Before Opening a 529 Account
Aug 31, 2023
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to answer questions that may arise when investing in a 529 plan account. Please also see our companion Bulletin, An Introduction to 529 Plans, for background information on the plans.
CategoryInvestment Management
Updated Investor Bulletin: An Introduction to 529 Plans
Aug 31, 2023
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with background information on 529 plans. Please also see our companion Bulletin for a few questions to consider before opening a 529 plan account.
CategoryInvestment Management
Updated Investor Bulletin: Leveraged and Inverse ETFs
Aug 29, 2023
The SEC staff and FINRA are issuing this Alert because we believe individual investors may be confused about the performance objectives of leveraged and inverse exchange-traded funds (ETFs).
CategoryInvestment Management
Natural Disasters and Investment Scams – Investor Alert
Aug 16, 2023
The SEC’s Office of Investor Education and Advocacy (OIEA) urges investors to be on the lookout for scams related to the recent Hawaii wildfires.
Bad actors may use natural disasters, including the recent Hawaii wildfires, to lure victims into investment scams. These frauds may directly target individuals receiving money from insurance companies or other sources. They can take many forms.
CategoryEnforcement
Investors in the Crypto Asset Markets Should Exercise Caution With Alternatives to Financial Statement Audits: Investor Bulletin
Jul 27, 2023
The SEC’s Office of Investor Education and Advocacy, along with the Office of the Chief Accountant, is issuing this Investor Bulletin to alert investors in the crypto asset markets of the risk of relying on audits not conducted following SEC rules and Public Company Accounting Oversight Board (“PCAOB”) standards.
Category
Investor Bulletin: Holding Your Securities
Jul 12, 2023
The SEC’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to provide information on the ways you might be able to hold your securities.
CategoryTrading and Markets
Investor Bulletin: SIPC Protection (Part 1: SIPC Basics)
Jun 7, 2023
The SEC’s Office of Investor Education and Advocacy and the Securities Investor Protection Corporation (SIPC) are issuing two Investor Bulletins to help educate investors about SIPC protection for brokerage accounts. The first Investor Bulletin (“SIPC Basics”) will provide investors with an overview of how SIPC protection works and what it protects, and the second Investor Bulletin (“Filing a SIPC claim”) will provide investors with an overview for how to file a SIPC claim.
CategoryTrading and Markets
Investor Bulletin: SIPC Protection (Part 2: Filing a SIPC Claim)
Jun 7, 2023
The SEC’s Office of Investor Education and Advocacy and the Securities Investor Protection Corporation (SIPC) are issuing two Investor Bulletins to help educate investors about SIPC protection for brokerage accounts. The first Investor Bulletin (“SIPC Basics”) will provide investors with an overview of how SIPC protection works and what it protects, and the second Investor Bulletin (“Filing a SIPC claim”) will provide investors with an overview for how to file a SIPC claim.
CategoryTrading and Markets