Jun 4, 2013
… bonds." While they generally offer a higher yield than investment-grade bonds, high-yield bonds also carry a higher … default risk issue bonds, they may be unable to obtain an investment-grade bond credit rating. As a result, they … may be subject to more liquidity risk than, for example, investment-grade bonds. How can you invest in high-yield …
May 9, 2013
… may be difficult to find and resolving disputes should an investment go sour may also be difficult. These products are … registration status of the salesperson. Visit the SEC's Investment Adviser Public Disclosure (IAPD) website. Visit … to the investor. As a result, in addition to the risk the investment may be difficult to sell and the risk that the …
May 2, 2013
… asking you to invest and think carefully about whether the investment is appropriate for you. Is the person recommending the investment registered? Most people offering you securities … at (800) 289-9999. If you are working with a registered investment adviser, you may be able to obtain information …
Apr 16, 2013
… Investor Education and Advocacy). The SEC does not endorse investment offers, assist in the purchase or sale of … of: seeking assistance with a fund transfer; forwarding investment offers to them; advising individuals that they own …
Apr 3, 2013
… help you determine how well a fund has met its goals and investment strategies during the period covered in the … showing the cost in dollars for a hypothetical $1,000 investment over the period covered by the report. Graphical … and others. Statement regarding basis for approval of investment advisory contract—discussion of the reasons the …
Mar 4, 2013
… SEC-registered investment advisers who have custody of their clients’ funds … against the possibility of theft or misappropriation by investment advisers who are registered with the SEC. Despite … safety of their investment. What is custody? Custody by investment advisers means holding client funds or securities, …
Dec 6, 2012
… individual investors with a few suggestions for year-end investment planning as the year draws to a close. Review Your … of the year is a reasonable time to review your overall investment portfolio and evaluate your existing asset allocation. Asset allocation involves dividing an
investment portfolio among different asset categories, for …
Nov 29, 2012
… Commissioner Daniel Gallagher). The SEC does not endorse investment offers, assist in the purchase or sale of … of: seeking assistance with a fund transfer; forwarding investment offers to them; advising individuals that they own …
Oct 3, 2012
… positive return. Hedge funds typically have more flexible investment strategies than, for example, mutual funds. Many … by using leverage (in other words, borrowing to increase investment exposure as well as risk), short-selling and other speculative investment practices that are not often used by mutual funds. …
Sep 26, 2012
… to help educate investors about affinity fraud, a type of investment scam that preys upon members of identifiable … Affinity fraud almost always involves either a fake investment or an investment where the fraudster lies about important details …