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Investor Bulletins

Investor Bulletin: Performance Claims

04/15/2016

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 things to consider.Read more

Investor Bulletin: Investor Complaints

03/25/2016

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.Read more

Investor Bulletin: Crowdfunding for Investors

02/16/2016

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.Read more

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Investor Bulletin: 10 Investment Tips for 2016

01/07/2016

Whether you are a first-time investor or have been investing for years, here are ten tips from the SEC’s Office of Investor Education and Advocacy to help you make more informed investing decisions and avoid common scams in 2016.Read more

Investor Bulletin: Exchange Traded Notes (ETNs)

12/01/2015

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about exchange-traded notes (“ETNs”). ETNs are unsecured debt obligations of financial institutions that trade on a securities exchange. ETN payment terms are linked to the performance of a reference index or benchmark, representing the ETN’s investment objective. You should understand that ETNs are complex and involve many risks for interested investors, and can result in the loss of your entire investment.Read more