Displaying results 1 - 10 of 436

Investor Bulletin: Private Placements Under Regulation D

… to educate investors about investing in unregistered securities offerings, or private placements, under Regulation D of the Securities Act.  What is a … placement? A securities offering exempt from registration with the SEC is sometimes …

Updated Investor Alert: Investor Warning Regarding Possible Advance Fee Fraud Targeting Deaf Investors

… as a “processing fee”, a commission, regulatory fee or tax, or some other … it (probably) is. Is the investment product registered with the SEC and my state … statements? Is the person making the offer registered with our state securities …

Updated Investor Bulletin: Regulation A

… Investor Bulletin to educate investors about Regulation A.  Regulation A is an exemption from registration under the Securities Act that …

Investor Alert: Advertising for Unregistered Securities Offerings

… placement? A securities offering exempt from registration with the SEC is sometimes … sell securities unless the offering has been registered with the SEC or an exemption  is … are not subject to some of the laws and regulations that are designed to protect …

Investor Alert: Beware of False Claims of SEC Registration

… or firms misrepresenting that they are registered with the SEC. Investors should be … check the background, including license and registration status, of any person who tries … anyone who falsely represents that they are registered with the SEC. Fraudsters may try to …

Investor Alert: Investor Warning Regarding Web-Based Scheme Defrauding Deaf Investors (Imperia Invest IBC)

… never received any returns. Imperia is not registered with the SEC. Imperia is not registered as an investment advisor or … from that address, and that Imperia is not registered with the Securities Commission of …

Transition of Mid-Sized Investment Advisers from Federal to State Registration

… investors aware of upcoming changes in the registration rules for some investment … a significant number of advisers currently registered with the SEC to withdraw their registrations with the SEC and to switch to …

Investor Alert: SEC Warns of Bogus Securities Regulators Soliciting Investors

… federal government and legitimate securities regulators. If you are contacted by an … Commission and are not legitimate securities regulators. They are scams. Many government … directory of legitimate state and provincial regulators in Canada, Mexico, and the U.S. on …

Investor Alert: 10 Red Flags That an Unregistered Offering May Be a Scam

… investors identify potentially fraudulent unregistered offerings. Under the federal … sell securities unless the offering has been registered with the SEC or an exemption to registration is available.  If the offering is …

Investment Adviser Registration

… information to investors about the rules for registering with a government regulatory authority that apply to investment … Investment advisers may be primarily regulated by the U.S. Securities and Exchange …