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Investor Bulletins

Investor Bulletin: Top Tips for Selecting a Financial Professional

09/25/2012

Choosing a financial professional-whether a stockbroker, a financial planner, or an investment adviser-is an important decision. Consider the tips below as you make your choice. Also the third page of this document has a list of questions you can ask a financial professional whose services you are considering.Read more

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Investor Bulletin: Lost and Stolen Securities

09/07/2012

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about lost and stolen securities and the Commission’s Lost and Stolen Securities Program (“LSSP”), a database for securities certificates reported lost, stolen, missing, or counterfeit.Read more

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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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