Skip to content

Font size: A- | A | A+

Investor.gov Logo for Print
Press Alt + shift + h then Enter to skip to secondary navigation. Mac users press Control + shift + h

Investor Bulletins

Say-on-Pay and Golden Parachute Votes

04/13/2011

The Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors -understand new rules about shareholder votes on Say-on-Pay and golden parachutes.Read more

View Document: English

Investor Bulletin: Indexed Annuities

04/06/2011

An indexed annuity is a type of contract between you and an insurance company. During the accumulation period – when you make either a lump sum payment or a series of payments – the insurance company credits you with a return that is based on changes in a securities index, such as the S&P 500 Composite Stock Price Index. Indexed annuity contracts also provide that the contract value will be no less than a specified minimum, regardless of index performance. After the accumulation period, the insurance company will make periodic payments to you under the terms of your contract, unless you choose to receive your contract value in a lump sum.Read more

View Document: English (pdf)

Trading Basics: Understanding the Different Ways to Buy and Sell Stock

03/09/2011

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the different types of orders they can use to buy and sell stocks through a brokerage firm. The following are general descriptions of some of the common order types and trading instructions that investors may use to buy and sell stocks. Please note that some of the order types and trading instructions described below may not be available through all brokerage firms. Furthermore, some brokerage firms may offer additional order types and trading instructions not described below. Investors should contact their brokerage firms to determine which types of orders and trading instructions are available for buying and selling as well the brokerage firms’ specific policies regarding such available orders and trading instructions.Read more

View Document: English (pdf)

Margin Rules for Day Trading

02/09/2011

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors regarding the margin rules that apply to day trading in a Regulation T margin account and to respond to a number of frequently asked questions we have received.Read more

New Rules Give Customers Option of All Public Arbitration Panels

01/31/2011

The Securities and Exchange Commission approved amendments to FINRA’s rules on January 31, 2011, that will provide customers in all FINRA arbitrations an option of selecting a panel comprised entirely of public arbitrators to serve in customer dispute cases.Read more