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.
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Investor Bulletin: Interested in Margin? Understand Interest.

Apr 7, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors ask informed questions about the interest a brokerage firm charges for margin accounts.
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Investor Bulletin: Crypto Asset Interest-bearing Accounts

Feb 14, 2022
The SEC’s Office of Investor Education and Advocacy and the Division of Enforcement’s Retail Strategy Task Force are issuing this Investor Bulletin to educate investors about risks with accounts that pay interest on crypto asset deposits.
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Investor Bulletin: Fund Liquidation

Dec 17, 2021
The SEC's Office of Investor Education and Advocacy is issuing this bulletin to help investors understand what happens when a fund closes and distributes its assets, or “liquidates.”  
CategoryInvestment Management

Investor Bulletin: Trading Suspensions

Dec 14, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the SEC’s rules and regulations related to trading suspensions. The federal securities laws generally allow the SEC to suspend trading in any stock for up to ten business days. This bulletin answers some of the typical questions we receive from investors about trading suspensions. A list of companies whose stock is currently subject to an SEC trading suspension, or which previously has been subject to an SEC trading suspension, may be found here.
CategoryTrading and Markets

Beware of Communications Falsely Appearing to Come from the SEC – Investor Alert

Nov 19, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn you of communications – including phone calls, voicemails, emails, and letters – that may falsely appear to be from the SEC.  
CategoryEnforcement

Key Topics for World Investor Week 2021: Investor Bulletin

Oct 4, 2021
The SEC’s Office of Investor Education and Advocacy, the Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA), and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to highlight some key topics for World Investor Week 2021, a global campaign to raise awareness about the importance of investor education and protection.  From October 4-10, 2021, investors, investment professionals, teachers, parents, researchers, and others are enc
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Investor Bulletin:  U.S.-Listed Companies Operating Chinese Businesses Through a VIE Structure

Sep 20, 2021
The SEC’s Office of Investor Education and Advocacy, along with the Office of the Chief Accountant and the Division of Corporation Finance, is issuing this Investor Bulletin to educate individual investors about risks associated with investing in certain companies that provide exposure to China-based businesses.
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Be on the Lookout for Investment Scams Related to Hurricane Ida

Sep 3, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors, including individuals who may receive lump sum payouts from insurance companies and others as a result of damage from Hurricane Ida, about investment scams.
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Digital Asset and “Crypto” Investment Scams – Investor Alert

Sep 1, 2021
The SEC’s Office of Investor Education and Advocacy (OIEA) and Division of Enforcement’s Retail Strategy Task Force (RSTF) remind investors to watch out for investment schemes involving digital assets and “Crypto.”
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Fraudsters Posing as Brokers or Investment Advisers – Investor Alert

Jul 27, 2021
The FBI Criminal Investigative Division and the United States Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) warn of fraudsters swindling investors while pretending to be registered brokers or investment advisers.
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Investor Alert: Don’t get “ished” – Tips to Protect Your Investment and Financial Accounts from Phishing, Smishing, and Vishing Scams

Jul 1, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about common scams fraudsters may use to compromise investment, financial, or other personal accounts.  Investors should always take steps to safeguard their personal financial information (e.g., social security number, financial account numbers, phone number, e-mail address, or usernames and passwords for online financial accounts). These security tips can help ensure that your investment, financial, or other personal accounts remain secure. 
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Updated Investor Bulletin: Protecting Your Online Investment Accounts from Fraud

Jul 1, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors protect their online investment accounts from fraud. As with all web-based accounts, investors should take precautions to help ensure that their online brokerage accounts remain secure. These online security tips can help.
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Investor Alert: Identity Theft, Data Breaches and Your Investment Accounts

Jul 1, 2021
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. Investors should always take steps to safeguard their personal financial information (e.g., social security number, financial account numbers, phone number, e-mail address, or usernames and passwords for online financial accounts). However, if identity theft or a data breach compromises your personal financial information, here are some important steps to take…
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Investor Bulletin: How to Open a Brokerage Account

Jun 10, 2021
The Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this Investor Bulletin to help you understand what to expect when opening a brokerage account, including what information you will need to provide, what decisions you will be asked to make, and what questions you should ask your broker.
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Leveraged Investing Strategies – Know the Risks Before Using These Advanced Investment Tools

Jun 10, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the risks of using leveraged investment strategies.
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Investor Bulletin: Understanding Margin Accounts

Jun 10, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about the use of margin accounts to buy securities and their related risks.
CategoryTrading and Markets

Funds Trading in Bitcoin Futures – Investor Bulletin

Jun 10, 2021
The Securities and Exchange Commission’s (SEC’s) Office of Investor Education and Advocacy (OIEA) and the Commodity Futures Trading Commission’s (CFTC’s) Office of Customer Education and Outreach (OCEO) urge investors considering a fund with exposure to the Bitcoin futures market to weigh carefully the potential risks and benefits of the investment. Among other things, investors should understand that Bitcoin, including gaining exposure through the Bitcoin futures market, is a highly speculative investment. As such, investors should consider the volatility of Bitcoin and the Bitcoin futures…
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What You Need to Know About SPACs – Updated Investor Bulletin

May 25, 2021
The SEC’s Office of Investor Education and Advocacy (OIEA) wants to educate investors about investing in SPACs. You may have heard the term SPAC recently referred to in the financial or other news. 
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INVESTOR BULLETIN Municipal Bonds: Understanding Credit Risk

Apr 28, 2021
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about assessing credit risks they face when purchasing municipal bonds, which may also be called notes or certificates of participation. Credit risk—or default risk—is the risk that interest and/or principal on the securities will not be paid on time and in full. Investors need to know who is responsible for repayment of the securities and the financial condition of that entity to assess the credit risk and decide whether to purchase the securities. It is important to look beyond…
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Investor Bulletin: Municipal Bonds – An Overview

Apr 28, 2021
The SEC’s Offices of Investor Education and Advocacy and Municipal Securities are issuing a series of three Investor Bulletins to help educate investors about the municipal securities market.  This Bulletin provides an overview of municipal bonds, including the different types of municipal bonds, what information an investor should review before investing in municipal bonds and where investors can find information about them.
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Municipal Bonds

Apr 28, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate individual investors about municipal bonds.
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Investor Bulletin: The Municipal Securities Market

Apr 28, 2021
The SEC’s Offices of Investor Education and Advocacy and Municipal Securities are issuing a series of three Investor Bulletins to help educate investors about the municipal securities market.  This Bulletin provides an overview of the municipal securities market, including the different types of municipal issuers, how the municipal securities market is regulated, and what types of disclosures investors may be able to obtain about municipal securities.
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Investor Bulletin: Municipal Bonds – Asset Allocation, Diversification, and Risk

Apr 28, 2021
The SEC’s Offices of Investor Education and Advocacy and Municipal Securities are issuing a series of three Investor Bulletins to help educate investors about the municipal securities market.  This Bulletin provides a general overview on asset allocation and diversification in an investment portfolio, with a focus on the role of municipal bonds.
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Accredited Investors – Updated Investor Bulletin

Apr 14, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about what it means to be an “accredited investor.” 
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