Investor Alerts and Bulletins
The SEC’s Office of Investor Education and Advocacy provides a variety of services and tools to address problems you may face as an investor. Investor Alerts, focused on recent investment frauds and scams, and Investor Bulletins, focused on topical issues including recent Commission actions, are provided as a service to investors. They are neither legal interpretations nor statements of SEC policy. If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law. Subscribe to get Investor Alerts and Bulletins by email.
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| Date | Title | Category |
|---|---|---|
| Jan. 12, 2017 |
Updated Investor Bulletin: Focus on Money Market Funds
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about money market funds, including money market funds’ investment objectives and risks. For additional assistance, investors can call the SEC’s Office of Investor Education and Advocacy at 1-800-SEC-0330, or ask a question using this online form. | Investment Management |
| Jan. 9, 2017 |
Investor Alert: Excessive Trading at Investors’ Expense
The SEC’s Office of Investor Education and Advocacy (OIEA) and Broker-Dealer Task Force are jointly issuing this Investor Alert to help investors identify excessive trading in their brokerage accounts and to educate investors about steps they should take if their brokerage firm notifies them of a high volume of trade activity in their accounts. | Investor Education and Advocacy |
| Dec. 22, 2016 |
Investor Bulletin: 10 Investment Tips for 2017
Whether you are a first-time investor or have been investing for years, here are 10 tips from the SEC’s Office of Investor Education and Advocacy to help you make better informed investment decisions and avoid common scams in 2017. | Investor Education and Advocacy |
| Dec. 20, 2016 |
Investor Bulletin: Broker-Dealer/Customer Arbitration
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the arbitration and mediation processes involving a customer dispute with a broker-dealer. | Investor Education and Advocacy |
| Nov. 10, 2016 |
Investor Alert: Binary Options Websites May Be Used for Fraudulent Schemes
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors that fraudsters may conduct investment schemes through purported online binary options trading platforms. While some binary options are listed on registered exchanges or traded on a designated contract market that are subject to oversight by U.S. regulators such as the SEC or the Commodity Futures Trading Commission, respectively, this is only a portion of the binary options market. Much of the binary options market operates through Internet-based trading platforms that are not necessarily complying with applicable U.S. regulatory requirements. For a comprehensive overview of binary options, including information about investing in binary options that are subject to U.S. regulatory oversight, read our Investor Alert: Binary Options and Fraud. | Investor Education and Advocacy |
| Nov. 1, 2016 |
Investor Alert: Investment Scams Involving Fake Forms 4
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential investment schemes in which fraudsters send fake Forms 4 to investors who paid for the purported purchase of shares. | Investor Education and Advocacy |
| Oct. 21, 2016 |
Investor Bulletin: Microcap Stock Basics (Part 3 of 3: Risk)
The SEC’s Office of Investor Education and Advocacy is issuing a series of three Investor Bulletins to provide investors with important information to consider before investing in microcap stocks, often known as penny stocks. The Bulletins provide a general overview of microcap stocks and their marketplaces, a list of sources to research microcap stocks, and a list of “red flags” of fraud and other important factors to consider before making an investment in microcap stocks. | Investor Education and Advocacy |
| Oct. 14, 2016 |
Investor Bulletin: Microcap Stock Basics (Part 2 of 3: Research)
The SEC’s Office of Investor Education and Advocacy is issuing a series of three Investor Bulletins to provide investors with important information to consider before investing in microcap stocks often known as penny stocks. The Bulletins provide a general overview of microcap stocks and their marketplaces, a list of sources to research microcap stocks, and a list of “red flags” of fraud and other important factors to consider before making an investment in microcap stocks. | Investor Education and Advocacy |
| Oct. 11, 2016 |
Investor Alert: Be on the Lookout for Investment Scams Related to Hurricane Matthew
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 others as a result of damage from Hurricane Matthew, about investment fraud. | Investor Education and Advocacy |
| Oct. 3, 2016 |
Investor Alert: Tick Size Pilot Program – What Investors Need To Know
Beginning October 3, 2016, a new National Market System (NMS) Plan to implement a Tick Size Pilot Program (the “pilot”) will widen the minimum quoting and trading increment —sometimes called the “tick size” — for some small capitalization stocks. The goal of the pilot is to study the effect of tick size on liquidity and trading of small capitalization stocks.
The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (OIEA) are issuing this investor alert to explain the pilot and how it might affect certain orders you place with your full-service or online brokerage firm. We also provide some background on the pilot and why it is being implemented. | Investor Education and Advocacy |
| Sept. 30, 2016 |
Investor Bulletin: Microcap Stock Basics (Part 1 of 3: General Information)
The SEC’s Office of Investor Education and Advocacy is issuing a series of three Investor Bulletins to provide investors with important information to consider before investing in microcap stocks, often known as penny stocks. The Bulletins provide a general overview of microcap stocks and their marketplaces, a list of sources to research microcap stocks, and a list of “red flags” of fraud and other important factors to consider before making an investment in microcap stocks. | Investor Education and Advocacy |
| Sept. 22, 2016 |
Updated Investor Alert: Be on the Lookout for Advance Fee Fraud
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about advance fee fraud. | Investor Education and Advocacy |
| Sept. 8, 2016 |
Updated Investor Bulletin: How Fees and Expenses Affect Your Investment Portfolio
The SEC’s Office of Investor Education and Advocacy is issuing this updated bulletin to educate investors about how fees can impact the value of an investment portfolio. | Investor Education and Advocacy |
| Aug. 30, 2016 |
Investor Bulletin: Publicly Traded REITs
The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about investing in publicly traded REITs. | Investor Education and Advocacy |
| Aug. 25, 2016 |
Updated Investor Bulletin: Top Tips for Selecting a Financial Professional
Choosing a financial professional is an important decision. This updated Investor Bulletin provides a few key tips to help you make a well-informed choice. A number of questions you should consider asking before you hire a financial professional are listed at the end of this Bulletin. Should you have any questions for us, feel free to call our toll-free investor assistance at 1-800-SEC-0330 or use our online question web form at https://www.sec.gov/oiea/QuestionsAndComments.html. | Investor Education and Advocacy |
| Aug. 23, 2016 |
Investor Bulletin: Performance Claims
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about investment performance claims. If you are in the market for an investment, you will likely come across sales and marketing materials that describe an investment’s performance. You should know that performance information can be presented in many different ways. Before making a decision, always make sure you understand how any performance claim is calculated and presented – and whether or not the claim is reliable and applies to your particular circumstances. Here are a few things to consider. | Investor Education and Advocacy |
| Aug. 22, 2016 |
Updated Investor Alert: Be on the Lookout for Investment Scams Related to the Recent Historic Rain and Flooding
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 others following the recent historic rainfall and flooding in and around South Carolina, about investment fraud. | Investor Education and Advocacy |
| Aug. 9, 2016 |
Investor Alert: What You Should Know About Asset Recovery Companies
Third party asset recovery companies solicit victims of scams, including investment frauds, with promises to file complaints with regulatory agencies and to help recover victims’ money for a fee. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to urge investors and fraud victims to think carefully before paying money for asset recovery services that may be fruitless. | Investor Education and Advocacy |
| Aug. 4, 2016 |
Investor Bulletin: Mutual Fund Classes
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about mutual fund classes. This bulletin addresses some of the fees that may apply to certain common mutual fund classes, but please note that mutual funds may have other fees and expenses that you should take into account when making an investment decision. For more information on mutual fund fees and expenses, read our Investor Bulletin: Mutual Fund Fees and Expenses. | Investor Education and Advocacy |
| July 18, 2016 |
Updated Investor Alert for Seniors: Five Red Flags of Investment Fraud
Older Americans are often targets of investment fraud. The SEC’s Office of Investor Education and Advocacy is issuing this Updated Investor Alert to help seniors identify signs that what is offered as an investment may actually be a fraud. Below are five “red flags” seniors should look out for when making an investment decision. | Investor Education and Advocacy |
| July 14, 2016 |
Investor Bulletin: Variable Annuities−Should You Accept a Buyout Offer?
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about some of the pros and cons of variable annuity buyout offers. This bulletin will provide information to help you consider whether a buyout is right for you. | Investor Education and Advocacy |
| June 27, 2016 |
Investor Alert: Beware of Government Impersonators Targeting Fraud Victims
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert because we are aware of communications, including official looking documents, that falsely claim to be issued by the Securities and Exchange Commission and seek money from investors who have already been victims of fraud. | Enforcement Investor Education and Advocacy |
| June 24, 2016 |
Investor Bulletin: Form ADV – Investment Adviser Brochure and Brochure Supplement
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 clients to evaluate the risks associated with a particular investment adviser, its business practices, and its investment strategies, it is essential that clients and prospective clients have clear disclosure that they are likely to read and understand. Part 2 of Form ADV requires investment advisers to provide new and prospective clients with a brochure and brochure supplements written in plain English. The requirements of Part 2 are designed to provide new and prospective clients with clearly written, meaningful current disclosure of the business practices, conflicts of interest, and background of the investment adviser firm and the firm’s employees who provide advice. | Investor Education and Advocacy |
| June 13, 2016 |
How to Read a Mutual Fund Prospectus (Part 1 of 3: Investment Objective, Strategies, and Risks)
The SEC’s Office of Investor Education and Advocacy is issuing a series of three Investor Bulletins to help inform investors about key information in a prospectus. You should note, however, that a prospectus contains additional information that may assist investors in making an investment decision. | Investor Education and Advocacy |
| June 13, 2016 |
How to Read a Mutual Fund Prospectus (Part 2 of 3: Fee Table and Performance)
The SEC’s Office of Investor Education and Advocacy is issuing a series of three Investor Bulletins to help inform investors about key information in a prospectus. You should note, however, that a prospectus contains additional information that may assist investors in making an investment decision. | Investor Education and Advocacy |
| June 13, 2016 |
How to Read a Mutual Fund Prospectus (Part 3 of 3: Management, Shareholder Information, and Statement of Additional Information)
The SEC’s Office of Investor Education and Advocacy is issuing a series of three Investor Bulletins to help inform investors about key information in a prospectus. You should note, however, that a prospectus contains additional information that may assist investors in making an investment decision. | Investor Education and Advocacy |
| May 18, 2016 |
Investor Bulletin: Master Limited Partnerships – An Introduction
The Securities and Exchange Commission’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors understand Master Limited Partnerships, or MLPs. Because investing in an MLP may be unfamiliar, investors should carefully consider potential benefits – and the risks – before making an investment decision. | Investor Education and Advocacy |
| May 2, 2016 |
Investor Bulletin: Stop and Stop Limit Orders
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the difference between using “stop” and “stop limit” orders to buy and sell stocks. | Investor Education and Advocacy |
| March 29, 2016 |
Updated Investor Alert: Fraudulent Stock Promotions
The SEC’s Office of Investor Education and Advocacy is issuing this updated Investor Alert to warn investors about fraudsters who promote a stock to drive up the stock price and then sell their own shares at the inflated price, making money at investors’ expense. | Investor Education and Advocacy |
| March 25, 2016 |
Investor Bulletin: Investor Complaints
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Bulletin to inform investors about how OIEA handles investor complaints and other ways investors may be able to resolve a securities-related dispute. | Enforcement Investor Education and Advocacy |
| March 9, 2016 |
Investor Alert: Zika Crisis May Give Rise to Investment Scams
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential investment scams involving companies that claim their products or services relate to the Zika virus. | Investor Education and Advocacy Enforcement |
| Feb. 16, 2016 |
Investor Bulletin: Crowdfunding for Investors
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about a new investing opportunity in the form of securities-based crowdfunding. | Investor Education and Advocacy |
| Feb. 9, 2016 |
Updated Investor Alert: SEC Warns of Government Impersonators
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. | Investor Education and Advocacy |
| Jan. 7, 2016 |
Investor Bulletin: 10 Investment Tips for 2016
Whether you are a first-time investor or have been investing for years, here are ten tips from the SEC’s Office of Investor Education and Advocacy to help you make more informed investing decisions and avoid common scams in 2016. | Investor Education and Advocacy |
| Dec. 21, 2015 |
Investor Alert: Securities-Backed Lines of Credit
An increasing number of securities firms are marketing and offering securities-backed lines of credit, or SBLOCs, to investors. SBLOCs can be a key revenue source for securities firms, especially in times of solid market returns and growing investment portfolios, when investors may feel more comfortable leveraging their assets. Firms market SBLOCs as a type of financing and liquidity strategy that can unlock the value of your investment portfolio. Between 2012 and 2014, one large brokerage firm that offers these programs reported a 70 percent increase in its securities-based lending business, while another firm reported an over 50 percent increase.
The Financial Industry Regulatory Authority (FINRA) and the SEC’s Office of Investor Education and Advocacy (OIEA) are issuing this investor alert to provide information about the basics of SBLOCs, how they may be marketed to you, and what risks you should consider before posting your investment portfolio as collateral. SBLOCs may seem like an attractive way to access extra capital when markets are producing positive returns, but market volatility can magnify your potential losses, placing your financial future at greater risk. | Investor Education and Advocacy |
| Dec. 1, 2015 |
Investor Bulletin: Exchange Traded Notes (ETNs)
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about exchange-traded notes (“ETNs”). ETNs are unsecured debt obligations of financial institutions that trade on a securities exchange. ETN payment terms are linked to the performance of a reference index or benchmark, representing the ETN’s investment objective. You should understand that ETNs are complex and involve many risks for interested investors, and can result in the loss of your entire investment. | Investor Education and Advocacy |
| Nov. 24, 2015 |
Investor Bulletin: Variable Annuities – An Introduction
(PDF)
This SEC Office of Investor Education and Advocacy Investor Bulletin provides some basic facts about variable annuities and how they work. Variable annuities are complex products, and this Investor Bulletin focuses solely on the basics. | Investment Management Investor Education and Advocacy |
| Nov. 5, 2015 |
Updated Investor Alert: Social Media and Investing -- Stock Rumors
The U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (“OIEA”) is issuing this Investor Alert to warn investors about fraudsters who may attempt to manipulate share prices by using social media to spread false or misleading information about stocks. | Investor Education and Advocacy |
| Oct. 29, 2015 |
Investor Bulletin: An Introduction to Short Sales
The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy is issuing this Investor Bulletin for investors to provide them with the basics, including some of the potential risks, of short sales. | Investor Education and Advocacy |
| Oct. 9, 2015 |
Investor Alert: Be on the Lookout for Investment Scams Related to the Recent Historic Rain and Flooding
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 others following the recent historic rainfall and flooding in and around South Carolina, about investment fraud. | Investor Education and Advocacy |
| Sept. 23, 2015 |
Investor Alert: Investment-Related Radio Programs Used to Defraud
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to provide investors with an overview of fraudulent schemes that may be carried out through radio programs. | Investor Education and Advocacy |
| Sept. 22, 2015 |
Investor Alert: Identity Theft, Data Breaches and Your Investment Accounts
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to provide investors with important steps to take regarding their investment accounts if they become victims of identity theft or a data breach. Investors should always take steps to safeguard their personal financial information (e.g., social security number, financial account numbers, phone number, e-mail address, or usernames and passwords for online financial accounts). However, if identity theft or a data breach compromises your personal financial information, here are some important steps to take immediately. | Investor Education and Advocacy |
| Aug. 31, 2015 |
Investor Bulletin: Non-traded REITs
The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about investing in non-traded REITs. | Investor Education and Advocacy |
| Aug. 27, 2015 |
Investor Bulletin: 10 Things to Know About Receivers
The Securities and Exchange Commission’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors understand the role of receivers in SEC cases. | Investor Education and Advocacy |
| Aug. 20, 2015 |
Investor Bulletin: An Introduction to The U.S. Securities and Exchange Commission – Rulemaking and Laws
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 govern the securities industry. | Investor Education and Advocacy |
| Aug. 20, 2015 |
Investor Bulletin: An Introduction to the U.S. Securities and Exchange Commission – Organization and Mission
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with a general overview of the SEC’s mission, responsibilities, and organizational structure. | Investor Education and Advocacy |
| Aug. 5, 2015 |
Updated Investor Alert: SEC Warns of Government Impersonators Demanding Money
SEC staff is issuing this updated Investor Alert because we are
aware of fraudulent communications, including official looking documents
such as bogus subpoenas, that purport to be from the Securities and
Exchange Commission demanding money for fictitious securities law
violations. | Investor Education and Advocacy |
| July 8, 2015 |
Investor Bulletin: Regulation A
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 implement the part of the Jumpstart Our Business Startups (JOBS) Act that makes Regulation A a more compelling option for smaller companies to use to raise money. | Investor Education and Advocacy |
| June 17, 2015 |
Investor Alert: Beware of Fantasy Stock Trading Websites Offering Real Returns
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about fantasy stock trading and other similar websites that may violate federal securities laws designed to protect investors from abuses in the swaps market. | Investor Education and Advocacy |
| June 15, 2015 |
Investor Alert for Seniors: Five Red Flags of Investment Fraud
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 investment may actually be a fraud. Below are five “red flags” seniors should look out for when making an investment decision. | Investor Education and Advocacy |
| June 3, 2015 |
Investor Alert: Beware of False or Exaggerated Credentials
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert to warn investors that fraudsters may misrepresent their backgrounds and experience to lure investors into investment schemes. Before investing, investors should verify that any person who tries to sell them an investment product or service is properly licensed or registered and should not make investment decisions based solely on assertions regarding the person’s credentials or professional experience, including claims found on the Internet or in traditional media sources. | Enforcement |
| June 1, 2015 |
Investor Bulletin and Consumer Advisory: Planning for Diminished Capacity and Illness
The SEC’s Office of Investor Education and Advocacy and the CFPB’s Office for Older Americans are issuing this bulletin to help investors and consumers understand the potential impact of diminished capacity on their ability to make financial decisions and to encourage investors and consumers to plan for possible diminished financial capacity well before it happens. | Investor Education and Advocacy |
| May 11, 2015 |
Updated Investor Alert: SEC Warns of Government Impersonators
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. | Investor Education and Advocacy |
| May 8, 2015 |
Investor Alert: Automated Investment Tools
The SEC’s Office of Investor Education and Advocacy (OIEA) and the Financial Industry Regulatory Authority, Inc. (FINRA) are issuing this alert to provide investors with a general overview of automated investment tools. | Investment Management Trading and Markets |
| April 3, 2015 |
Updated Investor Alert: Beware of Companies Using the SEC Seal
The SEC’s Office of Investor Education and Advocacy is issuing this updated Investor Alert to help investors identify fraudsters’ unauthorized use of the SEC seal as a way to convince prospective customers that a fraud, including an advance fee loan scam, is legitimate. | Investor Education and Advocacy |
| March 31, 2015 |
Investor Bulletin: Bankruptcy for a Public Company
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about what happens when a publicly traded company declares bankruptcy. | Investor Education and Advocacy |
| March 18, 2015 |
Investor Bulletin: An Introduction to Options
The SEC’s Office of Investor Education is issuing this investor bulletin to help educate investors about the basics, including some of the potential risks, of options trading. Options trading may occur in a variety of securities marketplaces and may involve a wide range of financial products, from stocks to foreign currencies. This bulletin focuses on the basics of trading listed stock options. | Investor Education and Advocacy |
| March 18, 2015 |
Investor Bulletin: Opening an Options Account
The SEC’s Office of Investor Education is issuing this investor bulletin to help you to understand what to expect when opening an options trading account with your broker-dealer. | Investor Education and Advocacy |
| Feb. 27, 2015 |
Investor Bulletin: Roth TSP for Uniformed Services Members
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. | Investor Education and Advocacy |
| Feb. 5, 2015 |
Investor Alert: “Prime Bank” Investments Are Scams
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert to warn investors about fraudulent investment schemes involving purportedly high-yield, risk-free international finance programs. | Enforcement |
| Feb. 3, 2015 |
Investor Bulletin: Protecting Your Online Brokerage Accounts from Fraud
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors protect their online brokerage accounts from fraud. As with all web-based accounts, investors should take precautions to help ensure that their online brokerage accounts remain secure. These online security tips can help. | Investor Education and Advocacy |
| Jan. 12, 2015 |
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. | Investor Education and Advocacy |
| Jan. 5, 2015 |
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. | Investor Education and Advocacy |
| Dec. 29, 2014 |
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. | Enforcement |
| Dec. 15, 2014 |
Investor Bulletin: Brokers’ Miscellaneous Fees
The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to make investors aware of the miscellaneous fees charged by some brokers. | Investor Education and Advocacy |
| Nov. 20, 2014 |
Investor Alert: Investment Scams Involving Ebola-Related Companies
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about investment scams involving companies that claim their products or services relate to Ebola. | Enforcement Investor Education and Advocacy |
| Nov. 12, 2014 |
Updated Investor Alert: Social Media and Investing - Avoiding Fraud
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors be better aware of fraudulent investment schemes that may involve social media. U.S. retail investors are increasingly turning to social media, including Facebook, YouTube, Twitter, LinkedIn and other online networks for information about investing. Whether it be for research on particular stocks, background information on a broker-dealer or investment adviser, guidance on an overall investing strategy, up-to-date news, or to simply discuss the markets with others, social media has become a key tool for U.S. investors. | Enforcement Investor Education and Advocacy |
| Oct. 30, 2014 |
Dormant Shell Companies – How to Protect Your Portfolio from Fraud
FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this alert to warn investors that some low-priced “penny” stocks that are aggressively promoted may in fact be stocks of dormant shell companies – companies that have no or nominal business operations or non-cash assets for an extended period of time. Many dormant shell companies that continue to trade in the over-the-counter (OTC) market are susceptible to market manipulation. This alert follows action by the SEC to suspend trading in 255 dormant shell companies in February 2014 and subsequent suspensions of other thinly traded penny stocks. | Investor Education and Advocacy |
| Oct. 22, 2014 |
Investor Bulletin: SEC Investigations
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. | Enforcement |
| Oct. 2, 2014 |
Investor Bulletin: Savings and Investing Basics for Military Personnel
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help military personnel make more informed savings and investing decisions and avoid common scams. Below is a list of ten suggestions that may help military personnel – and any investor – make better investments and avoid fraud. | Investor Education and Advocacy |
| Sept. 24, 2014 |
Investor Bulletin: Private Placements Under Regulation D
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about investing in unregistered securities offerings, or private placements, under Regulation D of the Securities Act. | Investor Education and Advocacy |
| Sept. 9, 2014 |
Investor Alert: Be on the Lookout for Advance Fee Fraud
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about advance fee fraud. | Investor Education and Advocacy |
| Aug. 20, 2014 |
Investor Bulletin: Trading Suspensions
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the SEC’s rules and regulations related to trading suspensions. The federal securities laws generally allow the SEC to suspend trading in any stock for up to ten business days. This bulletin answers some of the typical questions we receive from investors about trading suspensions. A list of companies whose stock is currently subject to an SEC trading suspension, or which previously has been subject to an SEC trading suspension, may be found here. | Investor Education and Advocacy |
| Aug. 18, 2014 |
Investor Bulletin: How to Check Out Your Financial Professional
The SEC’s Office of Investor Education and Advocacy is issuing this investor bulletin to provide investors with resources to check out a financial professional’s background. | Investor Education and Advocacy |
| Aug. 4, 2014 |
Investor Alert: 10 Red Flags That an Unregistered Offering May Be a Scam
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify potentially fraudulent unregistered offerings. | Investor Education and Advocacy |
| July 17, 2014 |
Investor Bulletin: Ten Things You Should Know About Investing
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors basic information that may help them make informed financial decisions and avoid common scams. | Investor Education and Advocacy |
| July 11, 2014 |
Updated Investor Alert: SEC Warns of Fake Correspondence
The U.S. Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this updated Investor Alert to warn investors that fraudsters may use fake SEC correspondence as part of a scam to steal your money (including phony letters using the SEC seal and purporting to be signed by SEC Inspector General Carl Hoecker). | Investor Education and Advocacy |
| June 27, 2014 |
Investor Bulletin: Transferring Your Investment Account
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about transferring an investment account from one investment firm to another and to provide tips on how to avoid problems and delays. | Investor Education and Advocacy |
| June 18, 2014 |
Investor Alert: Affinity Fraud
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 groups, such as religious or ethnic communities or the elderly. | Enforcement Investor Education and Advocacy |
| June 16, 2014 |
Investor Bulletin: Behavioral Patterns of U.S. Investors
In 2010, the SEC’s Office of Investor Education and Advocacy asked the Library of Congress’s Federal Research Division to prepare a report on behavioral traits of U.S. investors (Report). We are issuing this Investor Bulletin to remind investors about the Report’s findings and highlight the investing behaviors identified in the study that can undermine investment performance. | Investor Education and Advocacy |
| June 11, 2014 |
INVESTOR ALERT: Check out Your Financial Professional
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify and be aware of financial professionals that may have a history of misconduct. | Investor Education and Advocacy |
| June 9, 2014 |
Investor Bulletin: Lost and Stolen Securities
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 Program (“LSSP”), a database for securities certificates reported lost, stolen, missing, or counterfeit. | Investor Education and Advocacy |
| June 5, 2014 |
INVESTOR BULLETIN: Bank Sweep Programs
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about bank sweep programs, which some broker-dealers offer to their customers as a way to manage cash in their brokerage accounts. This Investor Bulletin describes some of the potential risks associated with bank sweep programs and suggests questions you may want to consider asking your broker-dealer to help you decide how to best manage the cash in your brokerage account. | Investor Education and Advocacy |
| June 2, 2014 |
INVESTOR ALERT: INVESTMENT NEWSLETTERS USED AS TOOLS FOR FRAUD
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors avoid fraudulent schemes that may be carried out through investment newsletters. | Investor Education and Advocacy Enforcement Investment Management |
| May 21, 2014 |
Investor Bulletin: What is IAPD (Investment Adviser Public Disclosure)?
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with a short overview of the SEC’s IAPD database. For additional information about IAPD, please visit the IAPD website on SEC.gov. For information about checking out the background of financial professionals more generally, please see our Investor Bulletin, Top Tips for Selecting a Financial Professional. | Investment Management Investor Education and Advocacy |
| May 16, 2014 |
INVESTOR ALERT: MARIJUANA-RELATED INVESTMENTS
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential risks involving investments in marijuana-related companies. | Corporation Finance Enforcement Investor Education and Advocacy Trading and Markets |
| May 12, 2014 |
Investor Bulletin - Mutual Fund Fees and Expenses
(PDF)
The SEC’s Office of Investor Education and Advocacy is issuing
this Investor Bulletin to explain some of the most common
mutual fund fees and expenses. As a general introduction to
mutual fund fees and expenses, this Investor Bulletin does not
identify all of the fees that you may pay to buy and own shares
in a mutual fund. This Investor Bulletin will, however, familiarize
you with some typical mutual fund fees and expenses
and show you how those fees and expenses reduce the value of
your fund’s investment return. | Investor Education and Advocacy Investment Management |
| May 7, 2014 |
INVESTOR ALERT: BITCOIN AND OTHER VIRTUAL CURRENCY-RELATED INVESTMENTS
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to make investors aware about the potential risks of investments involving Bitcoin and other forms of virtual currency. | Investor Education and Advocacy Corporation Finance Enforcement |
| March 20, 2014 |
INVESTOR ALERT: BEWARE OF FALSE CLAIMS OF SEC REGISTRATION
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potentially fraudulent investment schemes that involve individuals or firms misrepresenting that they are registered with the SEC. Investors should be careful to check the background, including license and registration status, of any person who tries to sell them an investment product or service, and should avoid investing with anyone who falsely represents that they are registered with the SEC. | Investor Education and Advocacy Corporation Finance Enforcement |
| March 11, 2014 |
How to Open a Brokerage Account
The Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this Investor Bulletin to help you understand what to expect when opening a brokerage account, including what information you will need to provide, what decisions you will be asked to make, and what questions you should ask your broker.
| Investor Education and Advocacy Trading and Markets |
| Nov. 1, 2013 |
Delinquent Filings
The Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with information on the SEC's Delinquent Filings Program. | Enforcement Trading and Markets Corporation Finance |
| Oct. 1, 2013 |
Investment Scams Exploit Immigrant Investor Program
The U.S. Securities and Exchange Commission's Office of Investor Education and Advocacy and U.S. Citizenship and Immigration Services are jointly issuing this Investor Alert to warn individual investors about fraudulent investment scams that exploit the Immigrant Investor Program, also known as "EB-5." | Enforcement |
| Oct. 1, 2013 |
SEC Warns of Fake Correspondence
The U.S. Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about fraudulent solicitations using correspondence claiming to be from SEC staff and Commissioners (including phony letters using the SEC seal and purporting to be signed by Commissioner Daniel Gallagher). | Enforcement |
| Oct. 1, 2013 |
Beware of Pyramid Schemes Posing as Multi-Level Marketing Programs
The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to warn individual investors about pyramid schemes, a type of investment scam that fraudsters often pitch as a legitimate business opportunity in the form of multi-level marketing programs. | Enforcement |
| Oct. 1, 2013 |
The ABCs of Credit Ratings
(PDF)
The SEC’s Office of Investor Education and Advocacy and Office of Credit Ratings are issuing this Investor Bulletin to educate investors about credit ratings. | Trading and Markets |
| Sept. 1, 2013 |
Accredited Investors
(PDF)
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about what it means to be an “accredited investor.” | Investment Management Corporation Finance |
| Sept. 1, 2013 |
Advertising for Unregistered Securities Offerings
(PDF)
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to educate individual investors about advertisements and announcements for investment opportunities in certain securities offerings. General advertising is permitted in certain offerings as a result of rules adopted by the SEC as required by the Jumpstart Our Business Startups (JOBS) Act. | Investment Management Corporation Finance |
| Sept. 1, 2013 |
Making Sense of Financial Professional Titles
(PDF)
The Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy and the North American Securities Administrators Association (NASAA) are jointly issuing this Investor Bulletin to help investors better understand the titles used by financial professionals. The requirements for obtaining and using these titles vary widely, from rigorous to nothing at all. To use certain titles, a financial professional may need to pass exams, meet ethical standards, have relevant work experience, and undertake continuing education. Other titles, however, may be obtained with little time, effort, and experience. | Agency-wide |
| Aug. 1, 2013 |
Understanding Margin Accounts
(PDF)
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the use of margin accounts. | Trading and Markets |
| July 1, 2013 |
Ponzi Schemes Using Virtual Currencies
(PDF)
The SEC’s Office of Investor Education and Advocacy is issuing this investor alert to warn individual investors about fraudulent investment schemes that may involve Bitcoin and other virtual currencies. | Enforcement |
Date: Jan. 12, 2017
Title: Updated Investor Bulletin: Focus on Money Market Funds
Category: Investment Management
Date: Jan. 9, 2017
Title: Investor Alert: Excessive Trading at Investors’ Expense
Category: Investor Education and Advocacy
Date: Dec. 22, 2016
Title: Investor Bulletin: 10 Investment Tips for 2017
Category: Investor Education and Advocacy
Date: Dec. 20, 2016
Title: Investor Bulletin: Broker-Dealer/Customer Arbitration
Category: Investor Education and Advocacy
Date: Nov. 10, 2016
Title: Investor Alert: Binary Options Websites May Be Used for Fraudulent Schemes
Category: Investor Education and Advocacy
Date: Nov. 1, 2016
Title: Investor Alert: Investment Scams Involving Fake Forms 4
Category: Investor Education and Advocacy
Date: Oct. 21, 2016
Title: Investor Bulletin: Microcap Stock Basics (Part 3 of 3: Risk)
Category: Investor Education and Advocacy
Date: Oct. 14, 2016
Title: Investor Bulletin: Microcap Stock Basics (Part 2 of 3: Research)
Category: Investor Education and Advocacy
Date: Oct. 11, 2016
Title: Investor Alert: Be on the Lookout for Investment Scams Related to Hurricane Matthew
Category: Investor Education and Advocacy
Date: Oct. 3, 2016
Title: Investor Alert: Tick Size Pilot Program – What Investors Need To Know
Category: Investor Education and Advocacy
Date: Sept. 30, 2016
Title: Investor Bulletin: Microcap Stock Basics (Part 1 of 3: General Information)
Category: Investor Education and Advocacy
Date: Sept. 22, 2016
Title: Updated Investor Alert: Be on the Lookout for Advance Fee Fraud
Category: Investor Education and Advocacy
Date: Sept. 8, 2016
Title: Updated Investor Bulletin: How Fees and Expenses Affect Your Investment Portfolio
Category: Investor Education and Advocacy
Date: Aug. 30, 2016
Title: Investor Bulletin: Publicly Traded REITs
Category: Investor Education and Advocacy
Date: Aug. 25, 2016
Title: Updated Investor Bulletin: Top Tips for Selecting a Financial Professional
Category: Investor Education and Advocacy
Date: Aug. 23, 2016
Title: Investor Bulletin: Performance Claims
Category: Investor Education and Advocacy
Date: Aug. 22, 2016
Category: Investor Education and Advocacy
Date: Aug. 9, 2016
Title: Investor Alert: What You Should Know About Asset Recovery Companies
Category: Investor Education and Advocacy
Date: Aug. 4, 2016
Title: Investor Bulletin: Mutual Fund Classes
Category: Investor Education and Advocacy
Date: July 18, 2016
Title: Updated Investor Alert for Seniors: Five Red Flags of Investment Fraud
Category: Investor Education and Advocacy
Date: July 14, 2016
Title: Investor Bulletin: Variable Annuities−Should You Accept a Buyout Offer?
Category: Investor Education and Advocacy
Date: June 27, 2016
Title: Investor Alert: Beware of Government Impersonators Targeting Fraud Victims
Category: Enforcement
Investor Education and Advocacy
Date: June 24, 2016
Title: Investor Bulletin: Form ADV – Investment Adviser Brochure and Brochure Supplement
Category: Investor Education and Advocacy
Date: June 13, 2016
Title: How to Read a Mutual Fund Prospectus (Part 1 of 3: Investment Objective, Strategies, and Risks)
Category: Investor Education and Advocacy
Date: June 13, 2016
Title: How to Read a Mutual Fund Prospectus (Part 2 of 3: Fee Table and Performance)
Category: Investor Education and Advocacy
Date: June 13, 2016
Category: Investor Education and Advocacy
Date: May 18, 2016
Title: Investor Bulletin: Master Limited Partnerships – An Introduction
Category: Investor Education and Advocacy
Date: May 2, 2016
Title: Investor Bulletin: Stop and Stop Limit Orders
Category: Investor Education and Advocacy
Date: March 29, 2016
Title: Updated Investor Alert: Fraudulent Stock Promotions
Category: Investor Education and Advocacy
Date: March 25, 2016
Title: Investor Bulletin: Investor Complaints
Category: Enforcement
Investor Education and Advocacy
Date: March 9, 2016
Title: Investor Alert: Zika Crisis May Give Rise to Investment Scams
Category: Investor Education and Advocacy
Enforcement
Date: Feb. 16, 2016
Title: Investor Bulletin: Crowdfunding for Investors
Category: Investor Education and Advocacy
Date: Feb. 9, 2016
Title: Updated Investor Alert: SEC Warns of Government Impersonators
Category: Investor Education and Advocacy
Date: Jan. 7, 2016
Title: Investor Bulletin: 10 Investment Tips for 2016
Category: Investor Education and Advocacy
Date: Dec. 21, 2015
Title: Investor Alert: Securities-Backed Lines of Credit
Category: Investor Education and Advocacy
Date: Dec. 1, 2015
Title: Investor Bulletin: Exchange Traded Notes (ETNs)
Category: Investor Education and Advocacy
Date: Nov. 24, 2015
Title: Investor Bulletin: Variable Annuities – An Introduction (PDF)
Category: Investment Management
Investor Education and Advocacy
Date: Nov. 5, 2015
Title: Updated Investor Alert: Social Media and Investing -- Stock Rumors
Category: Investor Education and Advocacy
Date: Oct. 29, 2015
Title: Investor Bulletin: An Introduction to Short Sales
Category: Investor Education and Advocacy
Date: Oct. 9, 2015
Category: Investor Education and Advocacy
Date: Sept. 23, 2015
Title: Investor Alert: Investment-Related Radio Programs Used to Defraud
Category: Investor Education and Advocacy
Date: Sept. 22, 2015
Title: Investor Alert: Identity Theft, Data Breaches and Your Investment Accounts
Category: Investor Education and Advocacy
Date: Aug. 31, 2015
Title: Investor Bulletin: Non-traded REITs
Category: Investor Education and Advocacy
Date: Aug. 27, 2015
Title: Investor Bulletin: 10 Things to Know About Receivers
Category: Investor Education and Advocacy
Date: Aug. 20, 2015
Category: Investor Education and Advocacy
Date: Aug. 20, 2015
Category: Investor Education and Advocacy
Date: Aug. 5, 2015
Title: Updated Investor Alert: SEC Warns of Government Impersonators Demanding Money
Category: Investor Education and Advocacy
Date: June 17, 2015
Title: Investor Alert: Beware of Fantasy Stock Trading Websites Offering Real Returns
Category: Investor Education and Advocacy
Date: June 15, 2015
Title: Investor Alert for Seniors: Five Red Flags of Investment Fraud
Category: Investor Education and Advocacy
Date: June 3, 2015
Title: Investor Alert: Beware of False or Exaggerated Credentials
Category: Enforcement
Date: June 1, 2015
Title: Investor Bulletin and Consumer Advisory: Planning for Diminished Capacity and Illness
Category: Investor Education and Advocacy
Date: May 11, 2015
Title: Updated Investor Alert: SEC Warns of Government Impersonators
Category: Investor Education and Advocacy
Date: May 8, 2015
Title: Investor Alert: Automated Investment Tools
Category: Investment Management
Trading and Markets
Date: April 3, 2015
Title: Updated Investor Alert: Beware of Companies Using the SEC Seal
Category: Investor Education and Advocacy
Date: March 31, 2015
Title: Investor Bulletin: Bankruptcy for a Public Company
Category: Investor Education and Advocacy
Date: March 18, 2015
Title: Investor Bulletin: An Introduction to Options
Category: Investor Education and Advocacy
Date: March 18, 2015
Title: Investor Bulletin: Opening an Options Account
Category: Investor Education and Advocacy
Date: Feb. 27, 2015
Title: Investor Bulletin: Roth TSP for Uniformed Services Members
Category: Investor Education and Advocacy
Date: Feb. 3, 2015
Title: Investor Bulletin: Protecting Your Online Brokerage Accounts from Fraud
Category: Investor Education and Advocacy
Date: Jan. 12, 2015
Title: Investor Bulletin: Structured Notes
Category: Investor Education and Advocacy
Date: Jan. 5, 2015
Title: Investor Bulletin: 15 Investment Tips for 2015
Category: Investor Education and Advocacy
Date: Dec. 29, 2014
Title: Investor Bulletin: How Harmed Investors May Recover Money
Category: Enforcement
Date: Dec. 15, 2014
Title: Investor Bulletin: Brokers’ Miscellaneous Fees
Category: Investor Education and Advocacy
Date: Nov. 20, 2014
Title: Investor Alert: Investment Scams Involving Ebola-Related Companies
Category: Enforcement
Investor Education and Advocacy
Date: Nov. 12, 2014
Title: Updated Investor Alert: Social Media and Investing - Avoiding Fraud
Category: Enforcement
Investor Education and Advocacy
Date: Oct. 30, 2014
Title: Dormant Shell Companies – How to Protect Your Portfolio from Fraud
Category: Investor Education and Advocacy
Date: Oct. 2, 2014
Title: Investor Bulletin: Savings and Investing Basics for Military Personnel
Category: Investor Education and Advocacy
Date: Sept. 24, 2014
Title: Investor Bulletin: Private Placements Under Regulation D
Category: Investor Education and Advocacy
Date: Sept. 9, 2014
Title: Investor Alert: Be on the Lookout for Advance Fee Fraud
Category: Investor Education and Advocacy
Date: Aug. 20, 2014
Title: Investor Bulletin: Trading Suspensions
Category: Investor Education and Advocacy
Date: Aug. 18, 2014
Title: Investor Bulletin: How to Check Out Your Financial Professional
Category: Investor Education and Advocacy
Date: Aug. 4, 2014
Title: Investor Alert: 10 Red Flags That an Unregistered Offering May Be a Scam
Category: Investor Education and Advocacy
Date: July 17, 2014
Title: Investor Bulletin: Ten Things You Should Know About Investing
Category: Investor Education and Advocacy
Date: July 11, 2014
Title: Updated Investor Alert: SEC Warns of Fake Correspondence
Category: Investor Education and Advocacy
Date: June 27, 2014
Title: Investor Bulletin: Transferring Your Investment Account
Category: Investor Education and Advocacy
Date: June 18, 2014
Title: Investor Alert: Affinity Fraud
Category: Enforcement
Investor Education and Advocacy
Date: June 16, 2014
Title: Investor Bulletin: Behavioral Patterns of U.S. Investors
Category: Investor Education and Advocacy
Date: June 11, 2014
Title: INVESTOR ALERT: Check out Your Financial Professional
Category: Investor Education and Advocacy
Date: June 9, 2014
Title: Investor Bulletin: Lost and Stolen Securities
Category: Investor Education and Advocacy
Date: June 5, 2014
Title: INVESTOR BULLETIN: Bank Sweep Programs
Category: Investor Education and Advocacy
Date: June 2, 2014
Title: INVESTOR ALERT: INVESTMENT NEWSLETTERS USED AS TOOLS FOR FRAUD
Category: Investor Education and Advocacy
Enforcement
Investment Management
Date: May 21, 2014
Title: Investor Bulletin: What is IAPD (Investment Adviser Public Disclosure)?
Category: Investment Management
Investor Education and Advocacy
Date: May 16, 2014
Title: INVESTOR ALERT: MARIJUANA-RELATED INVESTMENTS
Category: Corporation Finance
Enforcement
Investor Education and Advocacy
Trading and Markets
Date: May 12, 2014
Title: Investor Bulletin - Mutual Fund Fees and Expenses (PDF)
Category: Investor Education and Advocacy
Investment Management
Date: May 7, 2014
Title: INVESTOR ALERT: BITCOIN AND OTHER VIRTUAL CURRENCY-RELATED INVESTMENTS
Category: Investor Education and Advocacy
Corporation Finance
Enforcement
Date: March 20, 2014
Title: INVESTOR ALERT: BEWARE OF FALSE CLAIMS OF SEC REGISTRATION
Category: Investor Education and Advocacy
Corporation Finance
Enforcement
Date: March 11, 2014
Title: How to Open a Brokerage Account
Category: Investor Education and Advocacy
Trading and Markets
Date: Nov. 1, 2013
Title: Delinquent Filings
Category: Enforcement
Trading and Markets
Corporation Finance
Date: Oct. 1, 2013
Title: Beware of Pyramid Schemes Posing as Multi-Level Marketing Programs
Category: Enforcement
Date: Sept. 1, 2013
Title: Accredited Investors (PDF)
Category: Investment Management
Corporation Finance
Date: Sept. 1, 2013
Title: Advertising for Unregistered Securities Offerings (PDF)
Category: Investment Management
Corporation Finance
