Investor Alerts and Bulletins

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about the customer or client “relationship summary” (also called Form CRS and Form ADV Part 3) that broker-dealers and investment advisers are required to provide when they offer services to retail investors.

The SEC's Office of Investor Education and Advocacy is issuing this bulletin to educate investors about indexed annuities. Indexed annuities are complex products. Investors should carefully read the indexed annuity contract, and any prospectus, before deciding whether to buy the annuity.

The SEC’s Office of Investor Education and Advocacy (OIEA) and the Division of Enforcement’s Retail Strategy Task Force urge investors to be mindful when investing in offerings that are broadly advertised.

The CARES Act of 2020 provides significant relief for businesses and individuals affected by the COVID-19 pandemic. This includes allowing retirement investors affected by the coronavirus to gain access to up to $100,000 of their retirement savings without being subject to early withdrawal penalties and with an expanded window for paying the income tax they owe on the amounts they withdraw. Unfortunately, unscrupulous promoters have used these CARES Act benefits to encourage investors to take money from their 401(k)s or traditional IRAs, not for current emergency financial needs, but to buy…

The SEC’s Office of Investor Education and Advocacy (OIEA) and the Division of Enforcement’s Retail Strategy Task Force are issuing this Alert to educate Main Street investors about current investment frauds, including scams related to the Coronavirus (COVID-19) pandemic.

The SEC’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to urge you to consider adding a “trusted contact person” to your brokerage account.

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about investment frauds involving claims that a company’s products or services will be used to help stop the coronavirus outbreak.

The SEC’s Office of Investor Education and Advocacy is issuing this alert to urge investors to use caution before investing in so-called “initial exchange offerings” through online trading platforms.

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.

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.

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.

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.

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.

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…

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.

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.

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.

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.

The SEC’s Office of Investor Education and Advocacy (OIEA) and the Division of Enforcement’s Retail Strategy Task Force warn investors not to make investment decisions based solely on common ties with someone recommending or selling the investment.

Choosing an investment professional is an important decision. This updated Investor Bulletin provides a few key tips to help you make a well-informed choice. A number of questions you should consider asking before you hire an investment professional are in our investor bulletin “Questions to Ask When Hiring an Investment Professional.” Should you have any questions for us, feel free to call our toll-free investor assistance line at 1-800-SEC-0330 or use our online question web form at https://www.sec.gov/oiea/QuestionsAndComments.html.

Before investing in stock or other securities, you may decide to seek the help of an investment professional. Selecting this investment professional is an important decision. This Investor Bulletin provides you with questions you should ask before hiring any investment professional.

The SEC’s Office of Investor Education and Advocacy is issuing this updated bulletin to educate investors about how fees you pay for investment services and products can impact the value of your portfolio.

The SEC’s Office of Investor Education and Advocacy is issuing this investor bulletin to explain how to check out an investment professional’s registration status and background.

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors of misrepresentations about SEC “approvals” of offerings.

The SEC’s Office of Investor Education and Advocacy (OIEA) and the Commodity Futures Trading Commission’s Office of Customer Education and Outreach (CFTC) warn investors to scrutinize investment opportunities through websites purporting to operate advisory and trading businesses related to digital assets. These websites often contain “red flags” of fraud including claims of high guaranteed returns and promises that the investments carry little or even no risk.