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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:

10/29/2014

The Securities and Exchange Commission today announced charges against an investment advisory firm and three top officials for violating the “custody rule” that requires firms to follow certain procedures when they control or have access to client money or securities. Read more: SEC Announces Charges Against Investment Advisory Firm and Top Officials for Custody Rule Violations

10/24/2014

The Securities and Exchange Commission today announced insider trading charges against a New Jersey man who generated nearly $700,000 in illicit profits trading in the securities of two pharmaceutical companies that were about to be acquired. The SEC charged his source of nonpublic information earlier this month. Read more: SEC Charges New Jersey Man in Insider Trading Case Involving Pharmaceutical Companies

10/24/2014

The Securities and Exchange Commission today sanctioned a Florida-based auditor for violating federal laws and regulations requiring lead audit partners to periodically rotate off their audit engagements with a publicly traded company in order to preserve the integrity of the financial reporting process. Read more: SEC Sanctions Florida-Based Auditor for Circumventing Rules

10/23/2014

The Securities and Exchange Commission today announced that former hedge fund manager Rajarengan “Rengan” Rajaratnam has agreed to pay more than $840,000 and accept securities industry bars in order to settle the agency’s insider trading case against him. Read more: Rengan Rajaratnam Agrees to Settle Insider Trading Charges

10/22/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with a general overview of how the SEC’s Division of Enforcement conducts investigations. Read more: Investor Bulletin: SEC Investigations