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News and Alerts

08/31/2015

Investor Bulletin: Non-traded REITs

The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about investing in non-traded REITs.Read more

08/27/2015

Investor Bulletin: 10 Things to Know About Receivers

The Securities and Exchange Commission’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors understand the role of receivers in SEC cases. Read more

08/20/2015

Investor Bulletin: An Introduction to the U.S. Securities and Exchange Commission – Organization and Mission

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with a general overview of the SEC’s mission, responsibilities, and organizational structure.Read more

08/17/2015

Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charges

The Securities and Exchange Commission today announced that two Citigroup affiliates have agreed to pay nearly $180 million to settle charges that they defrauded investors in two hedge funds by claiming they were safe, low-risk, and suitable for traditional bond investors. The funds later crumbled and eventually collapsed during the financial crisis.Read more

08/13/2015

Edward Jones to Pay $20 Million for Overcharging Retail Customers in Municipal Bond Underwritings

The Securities and Exchange Commission today announced that St. Louis-based brokerage firm Edward Jones and the former head of its municipal underwriting desk have agreed to settle charges that they overcharged customers in new municipal bonds sales. It’s the SEC’s first case against an underwriter for pricing-related fraud in the primary market for municipal securities. The firm also was charged with separate misconduct related to supervisory failures in its review of certain secondary market municipal bond trades.Read more