Investor Alert: Beware of Stock Recommendations on Investment Research Websites

Apr 10, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors that seemingly independent commentary on investment research websites may in fact be part of paid stock promotion campaigns.
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Investor Bulletin: Ten Ways to Use Investor.gov

Mar 8, 2017
Whether you are investing on your own, working with a financial professional, planning your retirement, or just interested in learning more about investing generally, here are ten ways you can use Investor.gov to become a more informed investor and avoid fraud.
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Investor Bulletin: Robo-Advisers

Feb 23, 2017
The last few years have seen the growth in availability and popularity of automated digital investment advisory programs (often called “robo-advisers”).  These programs allow individual investors to create and manage their investment accounts through a web portal or mobile application, sometimes with little or no interaction with a human being with the potential benefit of lower costs than traditional investment advisory programs.  The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about these programs, and to help investors using
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Investor Bulletin: Alternative Mutual Funds

Feb 3, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to inform you about features, and some potential risks, of alternative mutual funds.
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Updated Investor Bulletin: Focus on Money Market Funds

Jan 12, 2017
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about money market funds, including money market funds’ investment objectives and risks. For additional assistance, investors can call the SEC’s Office of Investor Education and Advocacy at 1-800-SEC-0330, or ask a question using this online form.
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Investor Alert: Excessive Trading at Investors’ Expense

Jan 9, 2017
The SEC’s Office of Investor Education and Advocacy (OIEA) and Broker-Dealer Task Force are jointly issuing this Investor Alert to help investors identify excessive trading in their brokerage accounts and to educate investors about steps they should take if their brokerage firm notifies them of a high volume of trade activity in their accounts.
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Investor Bulletin: 10 Investment Tips for 2017

Dec 27, 2016
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 make better informed investment decisions and avoid common scams in 2017.
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Investor Bulletin: Broker-Dealer/Customer Arbitration

Dec 20, 2016
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the arbitration and mediation processes involving a customer dispute with a broker-dealer.
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International Investing

Dec 8, 2016
Individual investors in the United States have access to a wide selection of investment opportunities. These opportunities include international investments and domestic investments that give investors international exposure, such as U.S.-registered mutual funds that invest in foreign assets and the other examples described below. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about certain aspects of international investing by describing ways individual investors may obtain information about international investments and…
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Investor Alert: Binary Options Websites may be Used for Fraudulent Schemes

Nov 10, 2016
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors that fraudsters may conduct investment schemes through purported online binary options trading platforms.  While some binary options are listed on registered exchanges or traded on a designated contract market that are subject to oversight by U.S. regulators such as the SEC or the Commodity Futures Trading Commission, respectively, this is only a portion of the binary options market.  Much of the binary options market operates through Internet-based trading platforms that are not necessarily…
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Investor Alert: Investment Scams Involving Fake Forms 4

Nov 1, 2016
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential investment schemes in which fraudsters send fake Forms 4 to investors who paid for the purported purchase of shares.
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Investor Bulletin: Microcap Stock Basics (Part 3 of 3: Risk)

Oct 21, 2016
The SEC’s Office of Investor Education and Advocacy is issuing a series of three Investor Bulletins to provide investors with important information to consider before investing in microcap stocks, often known as penny stocks. The Bulletins provide a general overview of microcap stocks and their marketplaces, a list of sources to research microcap stocks, and a list of “red flags” of fraud and other important factors to consider before making an investment in microcap stocks.
CategoryTrading and Markets

Investor Bulletin: Microcap Stock Basics (Part 2 of 3: Research)

Oct 14, 2016
The SEC’s Office of Investor Education and Advocacy is issuing a series of three Investor Bulletins to provide investors with important information to consider before investing in microcap stocks often known as penny stocks.  The Bulletins provide a general overview of microcap stocks and their marketplaces, a list of sources to research microcap stocks, and a list of “red flags” of fraud and other important factors to consider before making an investment in microcap stocks.
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Investor Alert: Be on the Lookout for Investment Scams Related to Hurricane Matthew

Oct 11, 2016
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 Matthew, about investment fraud.
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Investor Alert: Tick Size Pilot Program – What Investors Need To Know

Oct 3, 2016
Beginning October 3, 2016, a new National Market System (NMS) Plan to implement a Tick Size Pilot Program (the “pilot”) will widen the minimum quoting and trading increment —sometimes called the “tick size” — for some small capitalization stocks.  The goal of the pilot is to study the effect of tick size on liquidity and trading of small capitalization stocks. The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (OIEA) are issuing this investor alert to explain the pilot and how it might affect…
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Investor Bulletin: Microcap Stock Basics (Part 1 of 3: General Information)

Sep 30, 2016
The SEC’s Office of Investor Education and Advocacy is issuing a series of three Investor Bulletins to provide investors with important information to consider before investing in microcap stocks, often known as penny stocks. The Bulletins provide a general overview of microcap stocks and their marketplaces, a list of sources to research microcap stocks, and a list of “red flags” of fraud and other important factors to consider before making an investment in microcap stocks.
CategoryTrading and Markets

Updated Investor Alert: Be on the Lookout for Advance Fee Fraud

Sep 22, 2016
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about advance fee fraud.
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Investor Bulletin: Publicly Traded REITs

Aug 30, 2016
*/ /*-->*/ The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about investing in publicly traded REITs.      What are REITs?
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Investor Bulletin: Performance Claims

Aug 23, 2016
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about investment performance claims.  If you are in the market for an investment, you will likely come across sales and marketing materials that describe an investment’s performance.  You should know that performance information can be presented in many different ways.  Before making a decision, always make sure you understand how any performance claim is calculated and presented – and whether or not the claim is reliable and applies to your particular circumstances.  Here are a few…
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Updated Investor Alert: Be on the Lookout for Investment Scams Related to the Recent Historic Rain and Flooding

Aug 22, 2016
The SEC's Office of Investor Education and Advocacy is issuing this updated Investor Alert to help educate investors, including individuals who may receive lump sum payments from insurance companies and others following the recent historic rainfall and flooding in and around Louisiana, about investment fraud.
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Investor Alert: What You Should Know About Asset Recovery Companies

Aug 9, 2016
Third party asset recovery companies solicit victims of scams, including investment frauds, with promises to file complaints with regulatory agencies and to help recover victims’ money for a fee. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to urge investors and fraud victims to think carefully before paying money for asset recovery services that may be fruitless.
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Investor Bulletin: Mutual Fund Classes

Aug 4, 2016
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about mutual fund classes.  This bulletin addresses some of the fees that may apply to certain common mutual fund classes, but please note that mutual funds may have other fees and expenses that you should take into account when making an investment decision.  For more information on mutual fund fees and expenses, read our Investor Bulletin: Mutual Fund Fees and Expenses.
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Updated Investor Alert for Seniors: Five Red Flags of Investment Fraud

Jul 18, 2016
Older Americans are often targets of investment fraud.  The SEC’s Office of Investor Education and Advocacy is issuing this Updated Investor Alert to help seniors identify signs that what is offered as an investment may actually be a fraud.  Below are five “red flags” seniors should look out for when making an investment decision. Unregistered and Unlicensed Sellers.  Always check whether the person offering to sell you an investment is registered and licensed, even if you know him or her personally.  Unregistered and unlicensed pe
CategoryEnforcement

Investor Bulletin: Variable Annuities - Should You Accept a Buyout Offer?

Jul 14, 2016
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about some of the pros and cons of variable annuity buyout offers.  This bulletin will provide information to help you consider whether a buyout is right for you.
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Investor Alert: Beware of Government Impersonators Targeting Fraud Victims

Jun 27, 2016
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert because we are aware of communications, including official looking documents, that falsely claim to be issued by the Securities and Exchange Commission and seek money from investors who have already been victims of fraud.
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