Oct 14, 2016
… reports with the SEC. Using the SEC’s EDGAR database at https://www.sec.gov/edgar/searchedgar/webusers.htm , you can … do not file them on EDGAR, use the SEC’s online form at https://www.sec.gov/cgi-bin/request_public_docs or email the …
Dec 1, 2015
… of its portfolio of assets by publishing an end-of-day net asset value and by disseminating an estimate of its value … issues and redeems its shares in creation units, at their net asset value. ETNs share some characteristics with ETFs. … of the ETN using a described formula, rather than using net asset value. Market Trading and Valuing ETNs ETNs are …
Oct 29, 2015
The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy is issuing this Investor Bulletin for investors to provide them with the basics, including some of the potential risks, of short sales. What is a short sale? A short …
Feb 27, 2015
… by the Federal Retirement Thrift Investment Board, see https://www.tsp.gov/ For the TSP Calculators, see https://www.tsp.gov/calculators/ . For the Uniformed Services MyPay website, see https://mypay.dfas.mil/mypay.aspx . For the Office of the …
Dec 11, 2014
La Office of Investor Education and Advocacy de la SEC publica esta Alerta para el Inversionista para ayudarlos a tomar consciencia de los sistemas de inversión fraudulentos que podrían involucrar redes sociales. Los inversionistas minoristas de Estados …
Jun 2, 2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors avoid fraudulent schemes that may be carried out through investment newsletters. Investment newsletters come in many forms. They may be found online or …
Sep 11, 2013
… Certified Financial Planner Board of Standards ( www.cfp.net ) allows visitors to search for CFP professionals to …
Jun 24, 2013
The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify fraudulent investment offers made by firms purporting to have met with the SEC, including in international locations (such as Dubai). SEC staff …
May 30, 2013
Securities and Exchange Commission staff is issuing this Investor Alert in response to a number of fraudulent solicitations currently underway that purport to be affiliated with or sponsored by the federal government and legitimate securities regulators. …
May 2, 2013
… generally limited by law to certain institutional and high net worth investors. This limitation exists because of the …