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Investor Bulletins

Investor Bulletin: Year-End Investment Considerations for Individual Investors

12/06/2012

The SEC’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to provide individual investors with a few suggestions for year-end investment planning as the year draws to a close.Read more

View Document: English (pdf)

Investor Bulletin: Hedge Funds

10/03/2012

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about hedge funds.Read more

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Investor Bulletin: How to Read Confirmation Statements

09/27/2012

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide you with guidance on how to read confirmation statements. Read more

View Document: Spanish (pdf)

Investor Bulletin: Affinity Fraud

09/26/2012

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about affinity fraud, a type of investment scam that preys upon members of identifiable groups, such as religious or ethnic communities or the elderly. Read more

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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

View Document: English (pdf)