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News and Alerts

02/19/2014

Investor Bulletin: How Fees and Expenses Affect Your Investment Portfolio

The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about how fees can impact the value of an investment portfolio. Read more

02/12/2014

SEC Names Rick Fleming as Investor Advocate

The Securities and Exchange Commission today announced that Rick A. Fleming has been named as the first head of the agency’s Office of the Investor Advocate. Read more

02/11/2014

Two Hong Kong-Based Firms to Pay $11 Million for Insider Trading Ahead of Nexen Acquisition by Company in China. SEC’s Quick Action After Trades Prevented Illegal Profits

The Securities and Exchange Commission today announced that two Hong Kong-based asset management firms whose accounts were frozen in a major insider trading case have agreed to pay nearly $11 million to settle the charges against them.Read more

02/06/2014

Investor Bulletin: Variable Annuities—An Introduction

This SEC Office of Investor Education and Advocacy Investor Bulletin provides some basic facts about variable annuities and how they work. Variable annuities are complex products, and this Investor Bulletin focuses solely on the basics.Read more

02/04/2014

SEC Announces Fraud Charges Against Two Wall Street Traders Involved in Parking Scheme

The Securities and Exchange Commission today announced charges against two Wall Street traders involved in a fraudulent “parking” scheme in which one temporarily placed securities in the other’s trading book to avoid penalties that would affect his year-end bonus.Read more