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 …
Aug 28, 2012
… become a more educated investor: Learn How to Help Avoid Investment Fraud Learn about common types of investment fraud, including those found online and in social … , and executing an order . Educate Yourself About Investment Products Understand different investment products, …
Aug 17, 2012
… investors do before investing in ADRs? Like any other investment, you should learn as much as you can about a …
May 11, 2012
… Investors should be very cautious in considering an investment in a stock following a trading suspension. At the … information that would allow investors to make an informed investment decision. Be Skeptical: Investors should always … should consider seriously whether this may be a good investment. Why would the SEC suspend trading of a stock when …