Leveraged Loan Funds – Investor Bulletin

Nov 20, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about funds that invest in leveraged loans. As with any investment, we urge you to make sure you understand these products and their risks before investing.
CategoryInvestment Management

Avoiding Investment Fraud in Your Faith-Based Community – Investor Alert

Nov 1, 2019
The SEC’s Office of Investor Education and Advocacy and the Retail Strategy Task Force are issuing this alert to help investors protect themselves and their communities from fraud targeting members of a shared faith.
CategoryEnforcement

Beware of Spoofed Websites Offering Phony Certificates of Deposit – Investor Alert

Oct 23, 2019
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert to warn investors about phony Certificates of Deposit (CDs) promoted through internet advertising and “spoofed” websites – websites that mimic the actual sites of legitimate financial institutions. Investors should be extremely cautious when purchasing CDs from sites found only through internet searches.
CategoryEnforcement

Don’t Buy Into an Investment Scam – Investor Alert

Oct 9, 2019
The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force (RSTF) urge investors to look for red flags of fraud before paying for investments by credit card or wire transfer.
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Don’t Fall for an Investment Scam – Investor Alert

Oct 9, 2019
The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force (RSTF) want Main Street investors to be aware of tactics fraudsters use to lure investors into scams. This Alert presents actual videos that defendants in SEC enforcement actions allegedly used as part of their investment frauds.
CategoryEnforcement

Three Tips for World Investor Week 2019: Investor Bulletin

Oct 1, 2019
The SEC’s Office of Investor Education and Advocacy, the Commodity Futures Trading Commission (CFTC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to highlight key messages from World Investor Week 2019, a global campaign to raise awareness about the importance of investor education and protection. From October 1-7, 2019, investors, investment professionals, teachers, parents, researchers, and others are encouraged to make a special effort to promote investor education. Here are a…
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Watch Out for Scammers Posing as SEC Employees – Investor Alert

Sep 19, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors that fraudsters sometimes pose as SEC employees. Do not send money, or personal information, to anyone claiming to be from the SEC without verifying their identity using the steps described in this Alert.
CategoryEnforcement

Don’t be Fooled by Fraudsters Offering “Charitable” Investments -- Investor Alert

Sep 17, 2019
The SEC’s Office of Investor Education and Advocacy (OIEA) warns investors not to fall for investment scams claiming to help charitable causes. Supporting a good cause while investing your money may sound like a win-win situation. But be aware that fraudsters may try to exploit your desire to help others by using charitable causes as a way to draw victims into investment scams.
CategoryEnforcement

Investor Bulletin: Seven Ways to Use Investor.gov

Sep 3, 2019
Investor.gov is the SEC’s website for Main Street investors, designed to help you better understand investing. Use the informative tools and resources on Investor.gov to make a plan, learn important questions to ask, and get tips to avoid investment fraud.
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Saving and Investing for Military Personnel

Jul 18, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this updated Investor Bulletin to help military personnel make informed savings and investing decisions and avoid common scams. Here are ten suggestions that can help you understand the basics and protect your hard-earned money.For more, check out Investor.gov/military.
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