What You Need to Know About the End of LIBOR – Investor Bulletin

May 1, 2023
You may have recently read in the financial press about the phase-out of LIBOR.  You may be affected by the transition away from LIBOR if you hold securities, financial instruments or financial products that have exposure to LIBOR.  The SEC’s Office of Investor Education and Advocacy (OIEA) wants to help you understand how the transition away from LIBOR could impact your investments and financial situation, and where you can go for additional information.
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Exercise Caution with Crypto Asset Securities: Investor Alert

Mar 23, 2023
The SEC’s Office of Investor Education and Advocacy continues to urge investors to be cautious if considering an investment involving crypto asset securities. Investments in crypto asset securities can be exceptionally volatile and speculative, and the platforms where investors buy, sell, borrow, or lend these securities may lack important protections for investors.
CategoryEnforcement

Look Out for High-Yield Investment Program Scams -- Investor Alert

Mar 15, 2023
The SEC’s Office of Investor Education and Advocacy warns investors that websites promoting High-Yield Investment Programs are likely scams.
CategoryEnforcement

Updated Investor Bulletin: Exchange-Traded Funds (ETFs)

Feb 23, 2023
This Investor Bulletin discusses only ETFs that are registered as open-end investment companies or unit investment trusts under the Investment Company Act of 1940 (the “1940 Act”). It does not address other types of exchange-traded products that are not registered under the 1940 Act, such as exchange traded commodity funds or exchange-traded notes.
CategoryInvestment Management

Investor Alert: Self-Directed IRAs and the Risk of Fraud

Feb 7, 2023
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors of risks associated with self-directed Individual Retirement Accounts (self-directed IRAs).  Self-directed IRAs allow investment in a broader—and potentially riskier—portfolio of assets than other types of IRAs.  While a broader set of investment options may have appeal, investors should be mindful that investments in self-directed IRAs raise risks including fraudulent schemes, high fees, and volatile performance.
CategoryEnforcement

Trading Prohibitions on Foreign Companies Under the HFCAA: Updated Investor Bulletin

Jan 9, 2023
The SEC’s Office of Investor Education and Advocacy, along with the Office of International Affairs, the Office of the Chief Accountant, the Division of Corporation Finance, and the Division of Trading and Markets, are issuing this Investor Bulletin to highlight for investors of affected companies the consequences under the HFCAA.
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Investor Alert: Identity Theft, Data Breaches and Your Investment Accounts

Nov 17, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to provide investors with important steps to take regarding their investment accounts if they become victims of identity theft or a data breach.
CategoryEnforcement
Trading and Markets

Investment Adviser Advertisements

Nov 8, 2022
In recent years there have been changes in the technology used for communications between advisers and clients/prospective clients, the expectations of investors shopping for advisory services, and the nature of the investment advisory industry. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors understand what to expect in advertisements from advisers, especially in online reviews or on social media, in this changed landscape.
CategoryInvestment Management

Updated Investor Bulletin: Investing in an IPO

Oct 14, 2022
Historically, an initial public offering, or IPO, has referred to the first time a company offers its shares of capital stock to the general public. Under the federal securities laws, a company may not lawfully offer or sell shares unless the transaction has been registered with the SEC or an exemption applies...
CategoryCorporation Finance

Updated Investor Bulletin: Regulation Crowdfunding for Investors

Oct 14, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about a new investing   opportunity in the form of securities-based crowdfunding.
CategoryCorporation Finance