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Investment Management

How to Use the Investment Professional Search Tool on Investor.gov

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to show investors how to use Investor.gov’s free and easy search tool to help you check out brokers and investment advisers.  Always research an investment professional—including confirming they are registered and whether they’ve had any disciplinary events—before deciding to work with them. 

Investor Bulletin: Questions to Ask when Hiring an Investment Professional

Before investing in stock or other securities, you may decide to seek the help of an investment professional. Selecting this investment professional is an important decision. This Investor Bulletin provides you with questions you should ask before hiring any investment professional.

Investor Bulletin: How to Select an Investment Professional

Choosing an investment professional is an important decision. This updated Investor Bulletin provides a few key tips to help you make a well-informed choice. A number of questions you should consider asking before you hire an investment professional are in our investor bulletin “Questions to Ask When Hiring an Investment Professional.” Should you have any questions for us, feel free to call our toll-free investor assistance line at 1-800-SEC-0330 or use our online question web form at https://www.sec.gov/oiea/QuestionsAndComments.html.

Investor Bulletin: Investment Adviser Sponsored Wrap Fee Programs

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about investment adviser sponsored wrap fee programs.  This bulletin provides basic information about wrap fee programs and some questions to consider asking your investment adviser before choosing to open an account in a wrap fee program.

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