Updated 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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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

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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