Investor Alert: Beware of Paid-To-Click (PTC) Scams

Nov 7, 2017
The SEC’s Office of Investor Education and Advocacy is warning investors about investment scams conducted through online paid-to-click (PTC) programs.

Updated Investor Bulletin: Master Limited Partnerships – An Introduction

Nov 3, 2017
The Securities and Exchange Commission’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors understand Master Limited Partnerships, or MLPs.  Because investing in an MLP may be unfamiliar, investors should carefully consider potential benefits – and risks – before making an investment decision.

Investor Alert: Celebrity Endorsements

Nov 1, 2017
The SEC’s Office of Investor Education and Advocacy (OIEA) is warning investors not to make investment decisions based solely on celebrity endorsements.

Investor Alert: Be Vigilant for Possible Investment Scams Related to the California Wildfires

Oct 17, 2017
The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to alert investors, including individuals who may receive lump sum payouts from insurance companies and others as a result of damage from the California wildfires, to investment scams that may take advantage of the disaster.

Updated Investor Bulletin: The ABCs of Credit Ratings

Oct 12, 2017
The SEC’s Office of Investor Education and Advocacy and Office of Credit Ratings are issuing this Investor Bulletin to educate investors about credit ratings.

Investor Bulletin: World Investor Week

Oct 2, 2017
The SEC’s Office of Investor Education and Advocacy, the Commodity Futures Trading Commission, FINRA (the Financial Industry Regulatory Authority), and NASAA (the North American Securities Administrators Association) are issuing this Investor Bulletin to highlight the key messages of World Investor Week, a week-long, global campaign promoted by International Organization of Securities Commissions to raise awareness about the importance of investor education and protection.  During World Investor Week (October 2-8, 2017), individual investors, investment professionals, teachers, parents,…

Investor Bulletin: Opening an Investment Advisory Account

Sep 25, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide tips on what to consider when opening an investment advisory account.   Investment advisory accounts differ from brokerage accounts, which generally are governed by different rules and regulations.  For information on opening a brokerage account, please see our bulletin: How to Open a Brokerage Account. Before opening an account with any financial professional, you should always remember to check the individual or entity’s background and disciplinary history.  You can do this using the IAPD…

Investor Bulletin: Financial Professionals’ Use of Professional Honors – Awards, Rankings, and Designations

Sep 14, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about the professional awards, rankings, and designations that financial professionals often use to market themselves to prospective clients.

Updated Investor Bulletin: Trading in Cash Accounts

Sep 12, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors regarding the rules that apply to trading securities in cash accounts and to highlight the 90-day account freeze which may arise with certain trading activities in these type of accounts.

Investor Alert: Public Companies Making ICO-Related Claims

Aug 28, 2017
The SEC’s Office of Investor Education and Advocacy is warning investors about potential scams involving stock of companies claiming to be related to, or asserting they are engaging in, Initial Coin Offerings (or ICOs).  Fraudsters often try to use the lure of new and emerging technologies to convince potential victims to invest their money in scams.  These frauds include “pump-and-dump” and market manipulation schemes involving publicly traded companies that claim to provide exposure to these new technologies.