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News and Alerts


SEC Charges California Man for Illegal Tips to Hedge Fund Manager

The Securities and Exchange Commission today charged a California man with illegally tipping a hedge fund manager with inside information about Nvidia Corporation’s quarterly earnings that he learned from his friend who worked at the company.Read more


SEC Issues Financial Literacy Study Mandated by the Dodd-Frank Act

The Securities and Exchange Commission today issued a staff study with findings on what investors want to know about financial professionals and investment products and services, and when and how investors want to receive such information.Read more


SEC Charges Florida Brokers for Defrauding Brazilian Public Pension Funds in Markup Scheme

The Securities and Exchange Commission today charged two former brokers in Miami with fraud for overcharging customers approximately $36 million by using hidden markup fees on structured notes transactions.Read more


10 Ways to Use

The SEC’s Office of Investor Education and Advocacy designed with the individual investor in mind. Whether you are investing on your own, working with a financial professional, planning your retirement, or just interested in learning more about investing generally, can help you invest wisely and avoid fraud. Here are 10 specific ways you can use to become a more educated investor.Read more


SEC Freezes Assets of Insider Traders in Nexen Acquisition

The Securities and Exchange Commission today obtained an emergency court order to freeze the assets of traders using trading accounts in Hong Kong and Singapore to reap more than $13 million in illegal profits by trading in advance of this week’s public announcement that China-based CNOOC Ltd. agreed to acquire Canada-based Nexen Inc.Read more