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News and Alerts

The SEC's Office of Investor Education and Advocacy regularly publishes educational content and participates in a variety of outreach events, all designed to help investors make better decisions and avoid fraud. Tune in to Investor.gov for news, alerts, and events that may be of interest to you.

In this section, you will find:

03/18/2015

The SEC’s Office of Investor Education is issuing this investor bulletin to help educate investors about the basics, including some of the potential risks, of options trading. Options trading may occur in a variety of securities marketplaces and may involve a wide range of financial products, from stocks to foreign currencies. This bulletin focuses on the basics of trading listed stock options. Read more: Investor Bulletin: An Introduction to Options

03/18/2015

The SEC’s Office of Investor Education is issuing this investor bulletin to help you to understand what to expect when opening an options trading account with your broker-dealer. Read more: Investor Bulletin: Opening an Options Account

03/04/2015

The Securities and Exchange Commission today charged an Irving, Texas-based brokerage firm with violating key customer protection rules after failing to adequately supervise registered representatives who misappropriated customer funds. Read more: SEC Charges Texas-Based Brokerage Firm With Violating Supervisory and Customer Protection Rules

03/02/2015

The Securities and Exchange Commission today announced it has suspended trading in 128 inactive penny stock companies to ensure they don’t become a source for pump-and-dump schemes. Read more: SEC Suspends Trading in 128 Dormant Shell Companies to Put Them Out of Reach of Microcap Fraudsters

03/02/2015

The Securities and Exchange Commission today announced a whistleblower award payout between $475,000 and $575,000 to a former company officer who reported original, high-quality information about a securities fraud that resulted in an SEC enforcement action with sanctions exceeding $1 million. Read more: Former Company Officer Earns Half-Million Dollar Whistleblower Award for Reporting Fraud Case to SEC