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Investor Bulletins

Investor Bulletin: Brokers' Miscellaneous Fees

12/15/2014

The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to make investors aware of the miscellaneous fees charged by some brokers.Read more

Investor Bulletin: SEC Investigations

10/22/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with a general overview of how the SEC’s Division of Enforcement conducts investigations.Read more

Investor Bulletin: Savings and Investing Basics for Military Personnel

10/02/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help military personnel make more informed savings and investing decisions and avoid common scams. Below is a list of ten suggestions that may help military personnel – and any investor – make better investments and avoid fraud.Read more

Investor Bulletin: Private Placements Under Regulation D

09/24/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about investing in unregistered securities offerings, or private placements, under Regulation D of the Securities Act.Read more

Investor Bulletin: Trading Suspensions

08/20/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the SEC’s rules and regulations related to trading suspensions. The federal securities laws generally allow the SEC to suspend trading in any stock for up to ten business days. This bulletin answers some of the typical questions we receive from investors about trading suspensions. A list of companies whose stock is currently subject to an SEC trading suspension, or which previously has been subject to an SEC trading suspension, may be found here.Read more