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News and Alerts

03/21/2014

Protecting the Retail Investor

Chair Mary Jo White, Consumer Federation of America, 2014 Consumer AssemblyRead more

03/20/2014

Investor Alert: Beware of False Claims of SEC Registration

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potentially fraudulent investment schemes that involve individuals or firms misrepresenting that they are registered with the SEC. Investors should be careful to check the background, including license and registration status, of any person who tries to sell them an investment product or service, and should avoid investing with anyone who falsely represents that they are registered with the SEC.Read more

03/13/2014

Investor Bulletin: How to Open a Brokerage Account

The Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this Investor Bulletin to help you understand what to expect when opening a brokerage account, including what information you will need to provide, what decisions you will be asked to make, and what questions you should ask your broker.Read more

03/13/2014

SEC Announces Charges Against Brokers, Adviser, and Others Involved in Variable Annuities Scheme to Profit From Terminally Ill

Washington D.C. — The Securities and Exchange Commission today announced enforcement actions against a pair of brokers, an investment advisory firm, and several others involved in a variable annuities scheme to profit from the imminent deaths of terminally ill patients in nursing homes and hospice care.Read more

03/13/2014

SEC Charges Lions Gate With Disclosure Failures While Preventing Hostile Takeover Company Admits Wrongdoing to Settle SEC Charges

The Securities and Exchange Commission today charged motion picture company Lions Gate Entertainment Corp. with failing to fully and accurately disclose to investors a key aspect of its effort to thwart a hostile takeover bid.Read more