Investor Alerts and Bulletins

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.

You can alse view a listing of Investor Alerts and Bulletins by Topic.
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Date Title Category
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.
Enforcement
Investor Education and Advocacy
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
Feb. 1, 2014 How Fees and Expenses Affect Your Investment Portfolio (pdf)
The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about how fees can impact the value of an investment portfolio.
Investor Education and Advocacy
Feb. 1, 2014 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
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Date

Date: March 20, 2014

Title: INVESTOR ALERT: BEWARE OF FALSE CLAIMS OF SEC REGISTRATION

Category: Enforcement
Investor Education and Advocacy

Date: March 11, 2014

Title: How to Open a Brokerage Account

Category: Investor Education and Advocacy
Trading and Markets

Date: Feb. 1, 2014

Title: How Fees and Expenses Affect Your Investment Portfolio (pdf)

Category: Investor Education and Advocacy

Date: Feb. 1, 2014

Title: Variable Annuities: —An Introduction (pdf)

Category: Investment Management
Investor Education and Advocacy