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Investor Bulletins

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

Investor Bulletin: How to Check Out Your Financial Professional

08/18/2014

The SEC’s Office of Investor Education and Advocacy is issuing this investor bulletin to provide investors with resources to check out a financial professional’s background. Even if a close friend or family member recommends a financial professional, you should still check out that person for signs of potential problems. Before becoming a customer, take the time to look at the registration status and background of any firm or financial professional you are considering. You should also be able to find out whether the individual is currently registered or licensed, or has been suspended, as well as the individual’s qualifications and employment history. These records are available through the SEC, FINRA, and/or state securities regulators.Read more

Investor Bulletin: Ten Things You Should Know About Investing

07/17/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors basic information that may help them make informed financial decisions and avoid common scams.Read more

Investor Bulletin: Transferring Your Investment Account

06/27/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about transferring an investment account from one investment firm to another and to provide tips on how to avoid problems and delays.Read more