Investors: Before you write or call us, use the alphabet bar or search box below — or scan our list of most frequently requested search terms — to find quick answers to common questions. If you wish to file an investor complaint, please use our online Investor Complaint Form.

If you don't find what you're looking for, please send us your question using our Question Form.

Industry participants: If you are (or represent) a corporate issuer, broker-dealer, investment adviser, investment company, or accountant -- and your question concerns the application or interpretation of a law or rule -- please contact the appropriate SEC division or office directly.

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Title: Advance Fee Fraud
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Title: "Ask" Price
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Title: "Restricted" Securities: Removing the Restrictive Legend
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Title: 401(k) Questions and Complaints
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Title: 529 Plan
A 529 plan is a tax-advantaged savings plan designed to encourage saving for educational costs. 529 plans, legally known as “qualified tuition plans,” are sponsored by states, state agencies, or educational institutions and are authorized by Section 529 of the Internal Revenue Code.
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Title: 8-K, How to Read
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Title: Accounts – Opening A Brokerage Account
Opening a brokerage account requires three critical decisions: who will buy and sell in the account, how will investments be paid, and how much risk will the account holder take.
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Title: Arbitration, Limited Appeal Rights, SEC role
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Title: Arbitration, How to Find a Lawyer Specializing in Securities
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Title: Ask Questions
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Title: Unsolicited Quotations
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Title: Best Execution
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Title: Bond Terms
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Title: Bonds, Municipal
Debt securities bonds issued by states, cities, counties and other governmental entities to finance capital projects.
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Title: Book Entry
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Title: Broker Dealer Registration
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Title: Broker Dealer Registration: Where to File
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Title: Brokers and Advisers
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Title: Bulletin Boards
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Title: Canadian Tax-Deferred Retirement Savings Accounts
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Title: Central Registration Depository, CRD
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Title: Class Actions
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Title: Cold Calling
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Title: Comment Letters
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Title: Commodity Futures Trading Commission
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Title: Companies, Going Public
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Title: Nationally Recognized Statistical Rating Organizations (NRSROs)
A credit rating agency assesses the creditworthiness of an obligor as an entity or with respect to specific securities or money market instruments.
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Title: Credit Reports, Disputing An Inaccurate Report
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Title: CUSIP Number
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Title: Defunct Company, Stock Continues to Trade
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Title: Derivatives
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Title: Direct Investment Plans: Buying Stock Directly from the Company
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Title: Disaster-related Investment Scams
Disaster-related investment scams often increase following oil spills, hurricanes, floods, and other such tragedies.
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Title: Electronic Mailboxes at the SEC
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Title: Employee Stock Options Plans
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Title: Employee Stock Ownership Plans (ESOPs)
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Title: Equity-Linked CDs
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Title: Escheatment Process
A process that goes into effect when a firm or financial institution is unable to identify the owner of an abandoned or unclaimed account.
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Title: Exchange-Traded Funds (ETFs)
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Title: Executive Compensation
Federal securities laws requires clear disclosure about compensation paid to CEOs, CFOs and certain other high-ranking executive officers of public companies.
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Title: Form 10-K
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Title: Form 144
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Title: Form 8-K
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Title: Forms 3, 4, 5
Securitites ownership disclosure forms required to be filed by a company’s officers, directors and any beneficial owner of more than 10 percent of a class of the company’s equity securities.
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Title: Frequently Asked Questions (FAQs)
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Title: Holding Your Securities
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Title: Home Mortgage Loans
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Title: Publications
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Title: 10-K, How to Read
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Title: Initial Public Offerings, Pricing Differences
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Title: Initial Public Offerings: Lockup Agreements
A period of time—typically 180 days—where company insiders are prohibited from selling their shares after the company goes public.
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Title: Internalization
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Title: International Investing
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Title: Internet Fraud
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Title: Investing: Questions You Should Ask About Your Investments (PDF)
Investors should do thorough research and ask questions about products before purchasing them.
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Title: Investment Clubs
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Title: Investment Companies
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Title: Investment Company Registration and Regulation Package
General information about investment companies (e.g., mutual funds, closed-end funds, and unit investment trusts) that is available online.
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Title: Investors Claims Funds
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Title: Late Trading
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Title: Limit Orders
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Title: Margin Position Sellouts
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Title: Market Centers: Buying and Selling Stock
Location where orders to buy and sell stocks are executed.
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Title: Market Indices
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Title: Market Order
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Title: Microcap Stock
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Title: Mutual Fund Cost Calculator
Online cost calculators are available to compare the costs of owning different mutual funds.
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Title: Naked Short Sales
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Title: Nasdaq
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Title: National Securities Exchanges
Securities exchanges that have registered with the SEC under Section 6 of the Securities Exchange Act of 1934.
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Title: Online Investment Newsletters
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Title: Online Trading
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Title: Options Trading
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Title: Brokerage Orders
Investors have several orders options when it comes to buying and selling securities.
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Title: OTC Bulletin Board (OTCBB) Eligibility Rule
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Title: Pink Sheets
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Title: Payment for Order Flow
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Title: Promissory Notes
A type of debt, similar to loans or IOUs, that companies sometimes use to raise money.
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Title: Public Documents: How to Request Public Documents
Questions and inquiries relating to the Commission, federal securities laws and investments should be submitted via [https://www.sec.gov/oiea/QuestionsAndComments.html]. Public documents can be requested through the Office of FOIA/PA Operations.
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Title: Regulation SHO
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Title: Sales Practice Abuses
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Title: SEC's Test Your Money Smarts
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Title: Section 31 Transaction Fees
Sometimes described as the “SEC Fee,” this charge is designed to recover the costs incurred by the government for supervising and regulating the securities markets and securities professionals.
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Title: Securities and Exchange Commission
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Title: Securities Investor Protection Corporation (SIPC)
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Title: Security Power
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Title: Selling Short Against the Box
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Title: Series 7 Examination
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Title: Short Sale Restrictions
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Title: Spam
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Title: Specialists
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Title: Staff Legal Bulletins
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Title: Securities Regulators, State
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Title: Stock Directory and Prices in the U.S.
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Title: Stock Splits
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Title: Stock Tables, How to Read Them
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Title: Stop Order
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Title: Stop-Limit Order
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Title: Street Name
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Title: Suitability
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Title: Tax Questions, Capital Gains & Losses
Questions or comments regarding a capital gains tax or a capital loss should be directed to the Internal Revenue Service.
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Title: Tax-Free vs. Taxable Yield Comparison Calculator
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Title: Telephone Calls From Brokers
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Title: Telephone Numbers at the SEC
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Title: Federal Securities Laws
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Title: Threshold Securities
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Title: Tracking Stocks
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Title: Trade Execution
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Title: Trade Execution: Rules Your Brokerage Firm Must Follow
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Title: Trading Halts and Delays
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Title: Trading Suspensions
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Title: Transfer Agents
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Title: Transfer on Death (TOD) Registration
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Title: Ultra-Short Bond Funds
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Title: Unauthorized Transactions
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Title: Variable Annuities
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