Investor Bulletin: Suggestions for How Individual Investors Can Comment on SEC Rulemaking

Dec 12, 2017
From time to time, the SEC seeks comment from the public on a number of matters, including on the SEC’s rulemakings. The Office of Investor Education and Advocacy is issuing this Investor Bulletin to help explain the rulemaking process and to help promote greater individual investor input in Commission rulemaking proceedings.
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Investor Bulletin: Investment Adviser Sponsored Wrap Fee Programs

Dec 7, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about investment adviser sponsored wrap fee programs.  This bulletin provides basic information about wrap fee programs and some questions to consider asking your investment adviser before choosing to open an account in a wrap fee program.
CategoryInvestment Management

Investor Bulletin: Understanding Your Brokerage Account Statement

Dec 5, 2017
The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy and the Office of Public Affairs have created an interactive brokerage account statement to help you better understand the information in your account statement and to highlight certain information to look out for when reviewing this statement.
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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.
CategoryEnforcement

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.
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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.
CategoryEnforcement

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.
CategoryEnforcement

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.
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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,…
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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…
CategoryInvestment Management

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.
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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.
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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.
CategoryEnforcement

Updated Investor Bulletin: New “T+2” Settlement Cycle – What Investors Need To Know

Aug 22, 2017
On March 22, 2017, the Securities and Exchange Commission amended Exchange Act Rule 15c6-1 to shorten the standard settlement cycle for broker-dealers transaction from “T+3” to “T+2,” subject to certain exceptions.  The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this investor bulletin to explain the new “T+2” settlement cycle and how it will affect certain transactions you place with your full-service or online brokerage firm.
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Investor Alert: Fraudsters May Target Federal Government Employee Retirement Plan Participants

Jul 31, 2017
The SEC’s Office of Investor Education and Advocacy (OIEA) and Broker-Dealer Task Force are warning the more than 5 million Thrift Savings Plan (TSP) participants, and investors in other federal government employee retirement plans, that investment scam artists may pretend to be affiliated with a government agency.
CategoryEnforcement

Investor Bulletin: Initial Coin Offerings

Jul 25, 2017
Developers, businesses, and individuals increasingly are using initial coin offerings, also called ICOs or token sales, to raise capital.  These activities may provide fair and lawful investment opportunities.  However, new technologies and financial products, such as those associated with ICOs, can be used improperly to entice investors with the promise of high returns in a new investment space. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to make investors aware of potential risks of participating in ICOs.
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Investor Bulletin: Retirement Investing Through 403(b) and 457(b) Plans

Jul 20, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with educational information about the basics of retirement investing through 403(b) and 457(b) plans.
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Investor Bulletin: Stop, Stop-Limit, and Trailing Stop Orders

Jul 13, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the difference between using “stop,” “stop limit” and “trailing stop” orders to buy and sell stocks.
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Investor Bulletin: Understanding Order Types

Jul 12, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the different types of orders they can use to buy and sell stocks through a brokerage firm. 
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Updated Investor Bulletin: Crowdfunding for Investors

May 10, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about a new investing   opportunity in the form of securities-based crowdfunding.
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Investor Bulletin: Help for Adult Protective Services (APS) Workers Encountering Senior Investor Fraud

May 9, 2017
It can be tricky to tell if a senior has been a victim of investment fraud or to know what to do when it happens. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help Adult Protective Services (APS) workers and others identify when a senior has been a victim of investment fraud and to explain what APS workers and others can do about it.
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Investor Bulletin: Be Cautious of SAFEs in Crowdfunding

May 9, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about a type of  security, often described as a SAFE (a “Simple Agreement for Future Equity”), that may be offered in crowdfunding offerings.
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Investor Bulletin: Crowdfunding Investment Limits Increase

May 5, 2017
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.
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Updated Investor Bulletin: Protecting Your Online Investment Accounts from Fraud

Apr 26, 2017
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 Bulletin: Investor Complaints

Apr 19, 2017
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Bulletin to inform investors about how OIEA handles investor complaints and other ways investors may be able to resolve a securities-related dispute.
CategoryEnforcement