Investor Bulletin: Social Sentiment Investing Tools —Think Twice Before Trading Based on Social Media

Apr 3, 2019
The SEC’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to inform investors about social sentiment investing tools and highlight their risks. This Bulletin provides tips to consider before using tools that analyze or aggregate information from social media sources to make investment decisions or attempt to predict changes in the stock market’s direction or in the price of a security.
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Investor Bulletin: The Escheatment Process

Mar 12, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide basic information about the escheatment process for investment accounts.
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Investor Bulletin: Trading Suspensions – What Happens When They End?

Mar 4, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to answer some of the questions we receive from investors about what happens at the end of a trading suspension.
CategoryTrading and Markets

Investor Bulletin: 10 Investment Tips for 2019

Feb 12, 2019
Whether you are a first-time investor or have been investing for years, here are 10 tips from the SEC’s Office of Investor Education and Advocacy to help you in 2019.
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Investor Bulletin: Trading Suspensions

Dec 3, 2018
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

Investor Alert: Scammers May Try to Take Advantage of the California Wildfires

Nov 29, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors, including individuals who may receive lump sum payouts from insurance companies and others as a result of damage from the California wildfires, about fraudulent investment scams.
CategoryEnforcement

Updated Investor Bulletin: Variable Annuities

Oct 30, 2018
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about variable annuities and how they work.
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Investor Bulletin: Variable Life Insurance

Oct 30, 2018
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about variable life insurance and how it works. This bulletin provides a general description of variable life insurance. The features of each policy may vary by product and by state.
CategoryInvestment Management

Investor Alert: Be Vigilant for Investment Scams Related to Recent Hurricanes

Oct 29, 2018
The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors, including individuals who may receive lump sum payouts from insurance companies and others as a result of damage from recent hurricanes, about fraudulent investment scams.
CategoryEnforcement

Investor Alert: Watch Out For False Claims About SEC And CFTC Endorsements Used To Promote Digital Asset Investments

Oct 11, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) and the Commodity Futures Trading Commission’s (CFTC) Office of Customer Education and Outreach warn investors to watch out for false claims about agency actions and endorsements related to digital assets.  Fraudsters may use false claims to lure investors into purchasing digital assets and to artificially raise their value. “Digital assets” include crypto-currencies, coins, and tokens such as those offered in so called initial coin offerings (ICOs).
CategoryEnforcement

Investor Bulletin: World Investor Week 2018

Oct 1, 2018
The SEC’s Office of Investor Education and Advocacy, FINRA, the Commodity Futures Trading Commission (CFTC), and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to highlight key messages from World Investor Week 2018. 
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Investor Alert: Don’t Invite Investment Scams to Find You

Sep 27, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force (RSTF) warn investors that providing your phone number and email address in response to an online investment promotion may make you a target for fraud.
CategoryEnforcement

Investor Alert: When Engaging With the SEC on Social Media, Use Our Verified Accounts and Be Alert for Impersonators

Sep 7, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) is alerting investors to the risk that bad actors have sought to impersonate SEC personnel on social media. Please do not just assume you are dealing with the SEC on social media.  Take a few steps to ensure that you’re not dealing with an imposter.
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Investor Alert: Marijuana Investments and Fraud

Sep 5, 2018
Scam artists often exploit “hot” industries to trick investors, including by making false promises of high returns with low risks. The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force are warning investors about these kinds of investment schemes involving marijuana-related companies.
CategoryEnforcement

Investor Alert: Check the Background of Anyone Selling You an Investment

Aug 14, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) urges investors to check the background of anyone selling or offering them an investment.  No matter how good an investment may sound, verify that the person is currently registered or licensed and check his or her background by using the free and simple search tool on Investor.gov.
CategoryEnforcement

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

Aug 8, 2018
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

Investor Bulletin: Index Funds

Aug 6, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors basic information about index funds.
CategoryInvestment Management

Investor Bulletin: Smart Beta, Quant Funds and other Non- Traditional Index Funds

Aug 6, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to inform investors about features and potential risks of non-traditional index funds.
CategoryInvestment Management

Investor Bulletin: How Victims of Securities Law Violations May Recover Money

Jun 21, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) is informing investors about how they may be able to recover money if they have been harmed by a violation of the federal securities laws.
CategoryEnforcement

Investor Alert: Is Your Broker Selling You Investments Approved for Sale Through the Firm?

May 30, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force are warning investors about red flags that a broker may be running a side business offering investments that are not approved for sale through the broker’s firm.
CategoryEnforcement

Investor Bulletin: An Introduction to 529 Plans

May 29, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with background information on 529 plans. Please also see our companion Bulletin for a few questions to consider before opening a 529 plan account.
CategoryInvestment Management

Investor Bulletin: 10 Questions to Consider Before Opening a 529 Account

May 29, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to answer questions that may arise when investing in a 529 plan account. Please also see our companion Bulletin, An Introduction to 529 Plans, for background information on the plans.
CategoryInvestment Management

Investor Bulletin: Health Savings Accounts (HSAs)

May 18, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about health savings accounts. We encourage you to also consult Internal Revenue Service (IRS) guidance before making investment decisions about a health savings account, because receiving favorable tax treatment is an important part of a health savings account.  
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Investor Bulletin: Understanding Margin Accounts

May 14, 2018
The SEC’s Office of Investor Education and Advocacy is publishing this Investor Bulletin to educate investors about the use of margin accounts to buy securities, including the related risks.
CategoryTrading and Markets

Investor Bulletin: FINRA’s New Account Protection Rule - Trusted Contacts

May 8, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with information about a new rule from the Financial Industry Regulatory Authority (FINRA) to help protect investors from financial exploitation and fraud.
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