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Investor Bulletins

10 Ways to Use Investor.gov

08/28/2012

The SEC’s Office of Investor Education and Advocacy designed Investor.gov 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, Investor.gov can help you invest wisely and avoid fraud. Here are 10 specific ways you can use Investor.gov to become a more educated investor.Read more

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Investor Bulletin: American Depositary Receipts

08/17/2012

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about American Depositary Receipts (“ADRs”). An ADR is a security that represents shares of non-U.S. companies that are held by a U.S. depositary bank outside the United States (“U.S.”).Read more

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Investor Bulletin: Exchange-Traded Funds (ETFs)

08/10/2012

This Investor Bulletin discusses only ETFs that are registered as open-end investment companies or unit investment trusts under the Investment Company Act of 1940 (the “1940 Act”). It does not address other types of exchange-traded products that are not registered under the 1940 Act, such as exchange traded commodity funds or exchange-traded notes.Read more

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International Investing

07/26/2012

Individual investors in the United States have access to a wide selection of investment opportunities, including international investments. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about international investing. This Investor Bulletin describes ways individual investors may obtain information about international investments— including special factors to consider when investing internationally.Read more

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DTC Chills and Freezes

05/31/2012

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the effects of chills and freezes on an investor’s ability to hold and trade securities. A “chill” is a limitation of certain services available for a security on deposit at The Depository Trust Company (“DTC”). A “freeze,” formally referred to as a “global lock,” is a complete restriction on all DTC services for a particular security on deposit at DTC.Read more

View Document: English (pdf)