Investor Alerts & Bulletins

June 24, 2013
The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify fraudulent investment offers made by firms purporting to have met with the SEC, including...
June 12, 2013
FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this Investor Alert to warn investors to be on the lookout for email spam promoting “pump-and-dump” stock scams.
June 6, 2013
The SEC’s Office of Investor Education and Advocacy and the Commodity Futures Trading Commission’s Office of Consumer Outreach (CFTC) are issuing this Investor Alert to warn investors about...
June 4, 2013
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to offer basic information about corporate bonds.
June 4, 2013
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about high-yield corporate bonds, also called "junk bonds." While they generally...
May 30, 2013
Securities and Exchange Commission staff is issuing this Investor Alert in response to a number of fraudulent solicitations currently underway that purport to be affiliated with or sponsored by the...
May 9, 2013
What You need to Know Before Buying or selling Them. Do you receive a monthly pension from a former employer? Are you getting regular distributions from a settlement following a personal injury...
May 2, 2013
The SEC's Office of Investor Education and Advocacy is issuing this alert to educate individual investors about certain risks and possible fraudulent activity involving private offerings of...
April 16, 2013
SEC staff is issuing this updated Investor Alert because we are aware of continuing fraudulent solicitations that purport to be affiliated with or sponsored by the Securities and Exchange Commission...
April 9, 2013
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to inform investors of recent safeguards approved by the SEC to address market volatility in U.S. equity markets...
April 3, 2013
Mutual funds that are registered with the SEC must send reports to their shareholders on a semiannual basis. the semiannual report covers the first six months of the fund's fiscal year, while the...
March 4, 2013
SEC-registered investment advisers who have custody of their clients’ funds or securities must safeguard those funds as required by the SEC’s “custody rule.” The custody rule is designed to provide...
February 27, 2013
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about SEC Forms 3, 4, and 5. The federal securities laws require certain individuals (...
February 25, 2013
Historically, an initial public offering, or IPO, has referred to the first time a company offers its shares of capital stock to the general public. Under the federal securities laws, a company may...
December 26, 2012
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about assessing credit risks they face when purchasing municipal bonds, which may also...
December 6, 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...
November 29, 2012
SEC staff is issuing this updated Investor Alert because we are aware of continuing fraudulent solicitations that purport to be affiliated with or sponsored by the Securities and Exchange Commission...
October 3, 2012
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about hedge funds.
September 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.
September 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...
September 7, 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...
August 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...
August 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...
August 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...
July 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...

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