Investor Alerts & Bulletins

September 24, 2010
The Securities and Exchange Commission approved rules on Sept. 10, 2010, to expand the existing circuit breaker program that currently is triggered by large, sudden price moves in an individual stock...
September 21, 2010
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about municipal bonds. For additional assistance, investors can call the SEC’s Office...
August 30, 2010
Investors should be very cautious when considering trading in stock after the SEC has suspended trading in the shares. An SEC trading suspension is a “red flag,” often indicating the SEC has concerns...
August 4, 2010
Investment advisers provide a wide range of advisory services and play an important role in helping individuals and institutions make significant financial decisions. To allow clients and prospective...
July 29, 2010
The Securities and Exchange Commission approved a new rule on June 30, 2010 to curbso-called “pay to play” practices in which investment advisers make campaign contributions to elected officials in...
June 9, 2010
The Securities and Exchange Commission approved rule changes on May 26, 2010 designed to improve the quality and timeliness of information available to investors about municipal bonds.
May 26, 2010
The oil spill in the Gulf of Mexico poses more than an environmental and economic threat to the region. It also poses a financial threat to investors in the form of scams promising financial gains...
May 7, 2010
Investing for retirement can be complex. When deciding where to invest, you may need to make a variety of decisions, including how to balance the risk of losing money with the desire to increase your...
April 28, 2010
SEC staff are aware of a number of ongoing investment scams in which con artists have used the names of real SEC employees to trick victims, including non-U.S. investors, into giving the fraudsters...
April 15, 2010
The Securities and Exchange Commission recently adopted reforms designed to significantly strengthen the regulatory framework governing money market funds and protect investors. The SEC’s Office of...
April 14, 2010
The staff of the Securities and Exchange Commission (SEC) has received credible information suggesting that an individual named Eric Bartoli, who was previously sued by the SEC for securities fraud,...
March 9, 2010
The SEC is warning investors about a website that falsely claims that $1.3 billion in Madoff money has been found in Malaysia and encourages individuals to submit information to verify that they are...
December 22, 2009
This Alert concerns a restitution fund established by the Securities Commission Malaysian (“Malaysian SC”) in a settlement involving various entities operating under the name “Swisscash”, including “...
August 18, 2009
The SEC staff and FINRA are issuing this Alert because we believe individual investors may be confused about the performance objectives of leveraged and inverse exchange-traded funds (ETFs).
March 12, 2009
On March 12, 2009, U.S. District Court Judge David C. Godbey issued an order at the request of Stanford court-appointed receiver Ralph S. Janvey unfreezing approximately 16,000 Stanford investor...
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate uniformed services members about the Roth Thrift Savings Plan.
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate individual investors about municipal bonds.
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about Regulation A. The SEC has recently amended Regulation A in order to create a new...
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors, including individuals and small businesses receiving lump sum payouts from BP related to...
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with an overview of the SEC’s rulemaking functions and a brief description of the laws that...
The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about investing in non-traded REITs.
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about advance fee fraud.
The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors, including individuals who may receive lump sum payouts from insurance companies and...
Older Americans are often targets of investment fraud. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help seniors identify signs that what is offered as an...

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