Skip to Main Content

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. Subscribe to get Investor Alerts and Bulletins by email.


SEC.gov Search Form Search: To search the full text of these Bulletins enter a keyword or phrase

View Alerts Related To:

Subscribe  RSS Subscribe
Date Title Category
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 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
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
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
June 1, 2013 What Are Corporate Bonds? (PDF)
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to offer basic information about corporate bonds.
Corporation Finance
June 1, 2013 What Are High-yield Corporate Bonds? (PDF)
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about high-yield corporate bonds, also called "junk bonds." While they generally offer a higher yield than investment-grade bonds, high-yield bonds also carry a higher risk of default.
Corporation Finance
June 1, 2013 Interest Rate Risk -— When Interest Rates Go Up, Prices of Fixed-Rate Bonds Fall (PDF)
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to make investors aware that market interest rates and bond prices move in opposite directions—for example, when market interest rates go up, prices of fixed-rate bonds fall.
Corporation Finance
May 1, 2013 Private Oil and Gas Offerings (PDF)
The SEC's Office of Investor Education and Advocacy is issuing this alert to educate individual investors about certain risks and possible fraudulent activity involving private offerings of securities for oil and gas ventures.
Enforcement
Corporation Finance
Feb. 1, 2013 Insider Transactions and Forms 3, 4, and 5 (PDF)
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about SEC Forms 3, 4, and 5. The federal securities laws require certain individuals (such as officers, directors, and those that hold more than 10% of any class of a company’s securities, together we’ll call, “insiders”) to report purchases, sales, and holdings of their company’s securities by filing Forms 3, 4, and 5.
Corporation Finance
Feb. 1, 2013 Investing in an IPO (PDF)
Historically, an initial public offering, or IPO, has referred to the first time a company offers its shares of capital stock to the general public. Under the federal securities laws, a company may not lawfully offer or sell shares unless the transaction has been registered with the SEC or an exemption applies...
Corporation Finance
Dec. 1, 2012 Municipal Bonds - Understanding Credit Risk (PDF)
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about assessing credit risks they face when purchasing municipal bonds, which may also be called notes or certificates of participation. Credit risk—or default risk—is the risk that interest and/or principal on the securities will not be paid on time and in full. Investors need to know who is responsible for repayment of the securities and the financial condition of that entity to assess the credit risk and decide whether to purchase the securities. It is important to look beyond the short-hand label given to a municipal bond, such as "general obligation bond" or "revenue bond," or the bond's credit rating. Investors should read the disclosure document, known as the "official statement," which provides important details about the offering, including the factors described below.
Trading and Markets
Corporation Finance
Aug. 1, 2012 American Depositary Receipts (PDF)
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about American Depositary Receipts (“ADRs”). An ADR is a security that represents shares of non-U.S. companies that are held by a U.S. depositary bank outside the United States (“U.S.”).
Corporation Finance
May 1, 2012 How to Read an 8-K (PDF)
A company has just released its quarterly earnings. Another company has auditor news that could raise a red flag, and a third company is filing for bankruptcy. Where can you find more facts? Information about these events and many more are found in a document called a current report on Form 8-K.
Corporation Finance
Dec. 1, 2011 Real Estate Investment Trusts (REITs) (PDF)
Real estate investment trusts (“REITs”) have been around for more than fifty years. Congress established REITs in 1960 to allow individual investors to invest in large-scale, income-producing real estate. REITs provide a way for individual investors to earn a share of the income produced through commercial real estate ownership – without actually having to go out and buy commercial real estate.
Investment Management
Corporation Finance
Sept. 1, 2011 How to Read a 10-K (PDF)
If you want to follow or invest in a U.S. public company, you can find a wealth of information in the company’s annual report on Form 10-K. Among other things, the 10-K offers a detailed picture of a company’s business, the risks it faces, and the operating and financial results for the fiscal year. Company management also discusses its perspective on the business results and what is driving them.
Corporation Finance
June 1, 2011 Spotlight on Proxy Matters
Corporation Finance
June 1, 2011 Structured Notes with Principal Protection: Note the Terms of Your Investment
The retail market for structured notes with principal protection has been growing in recent years. While these products often have reassuring names that include some variant of “principal protection,” “capital guarantee,” “absolute return,” “minimum return” or similar terms, they are not risk-free. Any promise to repay some or all of the money you invest will depend on the creditworthiness of the issuer of the note—meaning you could lose all of your money if the issuer of your note goes bankrupt.
Corporation Finance
June 1, 2011 Reverse Mergers
Many private companies, including some whose operations are located in foreign countries, seek to access the U.S. capital markets by merging with existing public companies. These transactions are commonly referred to as “reverse mergers” or “reverse takeovers (RTOs).”
Corporation Finance
March 1, 2011 Say on Pay and Golden Parachute Votes (PDF)
The Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors -understand new rules about shareholder votes on Say-on-Pay and golden parachutes.
Corporation Finance
  

Date

Date: May 16, 2014

Title: INVESTOR ALERT: MARIJUANA-RELATED INVESTMENTS

Category: Corporation Finance
Enforcement
Investor Education and Advocacy
Trading and Markets

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: Nov. 1, 2013

Title: Delinquent Filings

Category: Enforcement
Trading and Markets
Corporation Finance

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

Date: June 1, 2013

Title: What Are Corporate Bonds? (PDF)

Category: Corporation Finance

Date: June 1, 2013

Title: What Are High-yield Corporate Bonds? (PDF)

Category: Corporation Finance

Date: May 1, 2013

Title: Private Oil and Gas Offerings (PDF)

Category: Enforcement
Corporation Finance

Date: Feb. 1, 2013

Title: Insider Transactions and Forms 3, 4, and 5 (PDF)

Category: Corporation Finance

Date: Feb. 1, 2013

Title: Investing in an IPO (PDF)

Category: Corporation Finance

Date: Dec. 1, 2012

Title: Municipal Bonds - Understanding Credit Risk (PDF)

Category: Trading and Markets
Corporation Finance

Date: Aug. 1, 2012

Title: American Depositary Receipts (PDF)

Category: Corporation Finance

Date: May 1, 2012

Title: How to Read an 8-K (PDF)

Category: Corporation Finance

Date: Dec. 1, 2011

Title: Real Estate Investment Trusts (REITs) (PDF)

Category: Investment Management
Corporation Finance

Date: Sept. 1, 2011

Title: How to Read a 10-K (PDF)

Category: Corporation Finance

Date: June 1, 2011

Title: Spotlight on Proxy Matters

Category: Corporation Finance

Date: June 1, 2011

Title: Structured Notes with Principal Protection: Note the Terms of Your Investment

Category: Corporation Finance

Date: June 1, 2011

Title: Reverse Mergers

Category: Corporation Finance

Date: March 1, 2011

Title: Say on Pay and Golden Parachute Votes (PDF)

Category: Corporation Finance

 
Print Facebook Twitter Email Share
Facebook Twitter Email