Dec 15, 2017
… securities regulation. If you are a U.S. investor with an investment question or complaint, contact the SEC . You may … regulator of another country/territory related to the investment. … … Foreign Regulators …
Dec 15, 2017
… in a customer’s account without considering the customer’s investment goals and primarily to generate commissions that … sales of securities that don’t seem consistent with your investment goals and risk tolerance. Excessive Fees – Be …
Dec 7, 2017
… Investor Bulletin to provide investors information about investment adviser sponsored wrap fee programs. This … fee programs and some questions to consider asking your investment adviser before choosing to open an account in a … wrap fee program? A wrap fee program generally involves an investment account where you are charged a single, bundled, …
Dec 4, 2017
… promises to pay the investor a fixed return on his or her investment, typically principal plus annual interest. View … by Checking the Fine Print When looking for a low-risk investment for their hard-earned cash, many Americans turn to …
Nov 29, 2017
… and a current report on Form 1-U. Importantly, there are investment limitations for offerings under Tier 2 if the … to the value of the residence)). If you are considering an investment, you should always check with your state …
Nov 22, 2017
… “PIPE” stands for “private investment in public equity.” In a PIPE offering, investors …
Nov 21, 2017
… from a bank and have problems or questions about your investment, you may want to direct them to your state banking …
Nov 17, 2017
… about privately held companies. To invest wisely and avoid investment scams, research each investment opportunity thoroughly and ask questions . You …
Nov 16, 2017
… In addition, state securities regulators generally oversee investment advisers who manage less than $100 million. These … with the state. You can get details about whether your investment adviser is registered with the SEC or a state securities authority on the Investment Adviser Public Disclosure Database available on …
Nov 16, 2017
… Letters from the Divisions of Corporation Finance, Investment Management, and Trading and Markets, and the …