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News and Alerts

03/31/2015

Investor Bulletin: Bankruptcy for a Public Company

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about what happens when a publicly traded company declares bankruptcy.Read more

03/27/2015

SEC Charges New York-Based Brokerage Firm With Faulty Underwriting of Public Offering by China-Based Company

The Securities and Exchange Commission today announced charges against a New York-based brokerage firm responsible for underwriting a public offering despite obtaining a due diligence report indicating that the China-based company’s offering materials contained false information. Read more

03/26/2015

SEC Charges Nearly Two Dozen Unregistered Broker-Dealers

The Securities and Exchange Commission today charged nearly two dozen companies and individuals who regularly bought and sold securities on behalf of a suburban Chicago-based trading firm without registering with the SEC as a broker-dealer as required under the federal securities laws.Read more

03/18/2015

Investor Bulletin: An Introduction to Options

The SEC’s Office of Investor Education is issuing this investor bulletin to help educate investors about the basics, including some of the potential risks, of options trading. Options trading may occur in a variety of securities marketplaces and may involve a wide range of financial products, from stocks to foreign currencies. This bulletin focuses on the basics of trading listed stock options.Read more

03/18/2015

Investor Bulletin: Opening an Options Account

The SEC’s Office of Investor Education is issuing this investor bulletin to help you to understand what to expect when opening an options trading account with your broker-dealer.Read more