Updated Investor Bulletin: How to Check Out Your Investment Professional
May 29, 2019
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.
CategoryInvestment Management
Trading and Markets
Trading and Markets
Investor Alert: Beware of Claims That the SEC Has Approved Offerings
Apr 30, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors of misrepresentations about SEC “approvals” of offerings.
CategoryEnforcement
Investor Alert: Watch Out for Fraudulent Digital Asset and “Crypto” Trading Websites
Apr 24, 2019
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.
CategoryEnforcement
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.
CategoryEnforcement
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.
CategoryTrading and Markets
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.
CategoryEnforcement
Trading and Markets
Trading 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.
CategoryEnforcement
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
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
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.
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.
CategoryEnforcement
Trading and Markets
Trading and Markets
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.
CategoryEnforcement
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 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: 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: 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: 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.
Category
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.
CategoryEnforcement
Trading and Markets
Trading and Markets
Investor Alert: Ponzi Schemes Targeting Seniors
Apr 9, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force are warning investors about Ponzi schemes that prey on senior investors.
CategoryEnforcement
Investor Alert: SEC Impersonators Pretend to Help Investors Buy Stock
Apr 4, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) is warning investors about investment schemes where fraudsters misrepresent that they work for the SEC and pretend to help investors purchase stock or confirm trades – but really just steal investors’ money. If you receive an email or phone call claiming to be from the SEC to “confirm” your purchase of a security or to help you trade a stock, it is likely a scam. Do not send them money or give them your account information.
CategoryEnforcement