Updated Investor Bulletin: Crowdfunding Investment Limits Increase

Oct 14, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to advise investors about the inflation-adjusted increase in the investment limits for securities-based crowdfunding.
CategoryCorporation Finance

Investor Resilience – World Investor Week 2022: Investor Bulletin

Oct 3, 2022
For World Investor Week 2022, investors, investment professionals, teachers, parents, researchers, and others are encouraged to make a special effort to promote investor resilience and sustainable finance.
CategoryCorporation Finance
Enforcement
Investment Management
Trading and Markets

Investor Bulletin: Performance Claims

Sep 15, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about investment performance claims.  If you are in the market for an investment, you will likely come across sales and marketing materials that describe an investment’s performance.  You should know that performance information can be presented in many different ways.  Before making a decision, always make sure you understand how any performance claim is calculated and presented – and whether or not the claim is reliable and applies to your particular circumstances.…
CategoryInvestment Management
Trading and Markets

Social Media and Investment Fraud – Investor Alert

Aug 29, 2022
Fraudsters often use social media to scam investors.  The SEC’s Office of Investor Education and Advocacy encourages you to be skeptical and never make investment decisions based solely on information from social media platforms or apps.
CategoryEnforcement

Private Placements under Regulation D – Updated Investor Bulletin

Aug 17, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about investing in unregistered securities offerings, sometimes called private placements, under Regulation D of the Securities Act. 
CategoryCorporation Finance

Tips for Teachers: Investing for Retirement -- Updated Investor Bulletin

Jul 18, 2022
As a teacher, you have a number of choices to make when investing for retirement.
CategoryCorporation Finance
Enforcement
Investment Management
Trading and Markets

Broker-Dealer/Customer Arbitration: Investor Bulletin

Jun 14, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the arbitration and mediation processes involving a customer dispute with a broker-dealer. 
CategoryTrading and Markets

Extended-Hours Trading: Investor Bulletin

Jun 6, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about extended-hours trading for stocks. Extended-hours trading, refers to trading that occurs outside of regular trading hours. Regular trading hours for stocks traded on exchanges and certain other markets are from 9:30 a.m. to 4:00 p.m. Eastern Time. Extended-hours trading sessions may occur before or after regular trading hours. The duration of extended-hours trading sessions varies between markets and trading venues. Investors should contact their brokerage firms to…
CategoryTrading and Markets

Watch Out for Fake COVID-19 Claims When Investing -- Investor Alert

May 31, 2022
Investors should be aware that false statements may be made -- including in company press releases, promotional materials, and social media posts -- about a company offering or developing products that prevent, detect, or treat COVID-19, in order to inflate the value of a company’s stock.  Fraudulent stock promotions of these companies also may be made through “research reports” that make predictions of a specific “target price.”  Never invest in a company based solely on information in a press release or stock promotion.
CategoryEnforcement

Investor Bulletin – Top 10 Investment Tips for College Students

May 4, 2022
One of the best ways to build wealth is by saving and investing over a long period of time. The earlier you start, the easier it is for your money to grow. Opening your first investment account is a key step in beginning your investment journey. As a college student, you may receive offers to open an investment account. These offers could come from your bank, from someone you or your family know, or even at a campus coffee shop. They also can include incentives, like free stock or cash to invest, as a way to entice you to sign up.
CategoryEnforcement
Trading and Markets