The SEC is the primary overseer of the U.S. securities markets while foreign regulators oversee securities markets in other jurisdictions. The SEC and most foreign securities regulators are members of International Organization of Securities Commissions (IOSCO), which develops, implements and promotes adherence to internationally recognized standards for securities regulation.
ESG Funds – What You Should Know
Check out our investor bulletin about mutual funds and ETFs that focus on environmental, social, and governance principles.
Celebrity Involvement with SPACs
Learn why it is never a good idea to invest in a SPAC just because someone famous sponsors or invests in it or says it is a good investment.
Know the risks of day trading
Read this Director’s Take article to understand the risks of engaging in this type of speculative investing.