Mar 15, 2023
… warns investors that websites promoting High-Yield Investment Programs are likely scams. Have you ever seen a … promising annual (or even monthly, weekly, or daily!) investment returns of 30 or 40 percent – or more? The hallmark of a high-yield investment program (HYIP) scam is the promise of incredible …
Feb 23, 2023
… discusses only ETFs that are registered as open-end investment companies or unit investment trusts under the Investment Company Act of 1940. It does not address other … discusses only ETFs that are registered as open-end investment companies or unit investment trusts under the …
Feb 7, 2023
… Accounts (self-directed IRAs). Self-directed IRAs allow investment in a broader – and potentially riskier – portfolio … IRA is an IRA held by a custodian that allows investment in a broader set of assets than most IRA … with IRAs offered by registered broker-dealers and investment advisers. These risks include a lack of legal and …
Jan 31, 2023
… to judge whether a particular security is a good investment. If a company is not registered with the SEC, it … involve unregistered companies. Ask and Check - Research Investment Products and Professionals Using EDGAR to Research … and 5 How to Read a Mutual Fund Prospectus ( Part 1 of 3: Investment Objective, Strategies, and Risks ); ( Part 2 of 3: …
Jan 26, 2023
… you share your contact information in response to an investment promotion. Learn what you can do to avoid investment fraud including red flags to watch for and where … social media accounts. Learn about the different types of investment fraud, including those found online and in social …
Jan 23, 2023
… question that you should consider before hiring an investment professional is whether the person is registered … you not to do it. In addition, SEC-registered brokers and investment advisers are required to provide a customer or … summary and the differences between brokers and investment advisers, including how they are paid for their …
Jan 9, 2023
… this key component of regulatory oversight for your investment. You should also be aware that the securities of a …
Dec 9, 2022
… because others, including affiliates of the fund’s investment adviser, may instead be collecting fees for those … An investor in such a fund may pay these as separate investment fees, such as commissions paid to a broker for the … additional costs and expenses can reduce the value of your investment. Learn More …
Nov 17, 2022
… investors with important steps to take regarding their investment accounts if they become victims of identity theft … are some important steps to take immediately. Contact your investment firm and other financial institutions immediately. … information has been stolen, contact your broker-dealer, investment adviser or other financial professional …
Nov 8, 2022
… shopping for advisory services, and the nature of the investment advisory industry. The SEC’s Office of Investor … the advertisement misleading. Also, advisers must provide investment-related information in a fair and balanced manner. … associated with the benefits; Reference specific investment advice that is not presented in a fair and …