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News and Alerts


Investor Bulletin: Structured Notes

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to inform investors of features – and some potential risks – of structured notes. While structured notes may enable individual retail investors to participate in investment strategies that are not typically offered to them, these products can be very complex and have significant investment risks. Before investing in structured notes, you should understand how the notes work and carefully consider their risks.Read more


SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types

The Securities and Exchange Commission today announced that two exchanges formerly owned by Direct Edge Holdings and since acquired by BATS Global Markets have agreed to pay a $14 million penalty to settle charges that their rules failed to accurately describe the order types being used on the exchanges. The penalty is the SEC’s largest against a national securities exchange, and the case is the SEC’s first principally focusing on stock exchange order types. Read more


Boletín del inversionista y recomendaciones para el consumidor: Prepararse para situaciones de capacidad disminuida y enfermedades

La Office of Investor Education and Advocacy de la SEC y la Office for Oler Americans de la CFPB publican este boletín para que los inversionistas y los consumidores conozcan sobre el posible impacto de la capacidad disminuida en su habilidad para tomar decisiones financieras, y para animar a los inversionistas y los Read more


Investor Bulletin: 15 Investment Tips for 2015

Whether you’re a first-time investor or have been investing for years, here are fifteen tips to help you make more informed financial decisions and avoid common investment scams in 2015.Read more


Investor Bulletin: How Harmed Investors May Recover Money

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about how they may be able to recover money if they have been harmed by a violation of the federal securities laws.Read more