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Investor Bulletins

Investor Bulletin: Insider Transactions and Forms 3, 4, and 5

02/27/2013

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about SEC Forms 3, 4, and 5. The federal securities laws require certain individuals (such as officers, directors, and those that hold more than 10% of any class of a company’s securities, together we’ll call, “insiders”) to report purchases, sales, and holdings of their company’s securities by filing Forms 3, 4, and 5.Read more

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Investor Bulletin: Investing in an IPO

02/25/2013

Historically, an initial public offering, or IPO, has referred to the first time a company offers its shares of capital stock to the general public. Under the federal securities laws, a company may not lawfully offer or sell shares unless the transaction has been registered with the SEC or an exemption applies...Read more

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Investor Bulletin: Hedge Funds

10/03/2012

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about hedge funds.Read more

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Investor Bulletin: How to Read Confirmation Statements

09/27/2012

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide you with guidance on how to read confirmation statements. Read more

View Document: Spanish (pdf)

Investor Bulletin: Affinity Fraud

09/26/2012

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about affinity fraud, a type of investment scam that preys upon members of identifiable groups, such as religious or ethnic communities or the elderly. Read more

View Document: English (pdf)