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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 for news, alerts, and events that may be of interest to you.

In this section, you will find:


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, including scams that make phony claims of endorsement by senior officials at the SEC. Read more: Updated Investor Alert: SEC Warns of Government Impersonators


The Securities and Exchange Commission today announced enforcement actions against 14 municipal underwriting firms for violations in municipal bond offerings. The actions conclude charges against underwriters under the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. In all, 72 underwriters have been charged under the voluntary self-reporting program targeting material misstatements and omissions in municipal bond offering documents. Read more: SEC Completes Muni-Underwriter Enforcement Sweep. 72 Firms Charged Since June 2015


The Securities and Exchange Commission today announced that software manufacturer SAP SE has agreed to give up $3.7 million in sales profits to settle charges that it violated the Foreign Corrupt Practices Act (FCPA) when procuring business in Panama. Read more: SEC Charges Software Company With FCPA Violations


The Securities and Exchange Commission today announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC have agreed to settle separate cases finding that they violated federal securities laws while operating alternative trading systems known as dark pools and Credit Suisse’s Light Pool. Read more: Barclays, Credit Suisse Charged With Dark Pool Violations. Firms Collectively Paying More Than $150 Million to Settle Cases


The Securities and Exchange Commission today announced that a Manhattan-based investment advisory firm and its Toronto-based hedge fund manager have agreed to settle charges that they misled investors about a fund’s investment strategy and historical performance. They will reimburse investors $2.877 million in losses. Read more: Hedge Fund Manager Agrees to Reimburse Investor Losses