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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.


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Date Title Category
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
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
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 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
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
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
Sept. 1, 2012 Lost and Stolen Securities (PDF)
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.
Trading and Markets
Sept. 1, 2012 How to Read Confirmation Statements (PDF)
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide you with guidance on how to read confirmation statements.
Trading and Markets
June 1, 2012 Municipal Bonds
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
May 1, 2012 DTC Chills and Freezes
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the effects of chills and freezes on an investor’s ability to hold and trade securities. A “chill” is a limitation of certain services available for a security on deposit at The Depository Trust Company (“DTC”). A “freeze,” formally referred to as a “global lock,” is a complete restriction on all DTC services for a particular security on deposit at DTC.
Trading and Markets
May 1, 2012 Trading Suspensions (PDF)
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.
Trading and Markets
Aug. 1, 2011 New Stock-by-Stock Circuit Breakers
The Securities and Exchange Commission approved rules on Sept. 10, 2010, to expand the existing circuit breaker program that currently is triggered by large, sudden price moves in an individual stock. The new rules follow changes adopted on June 10, 2010, that impose a uniform market-wide pause in trading in individual stocks whose price moves 10% or more in a five-minute period. The trading pause, which was proposed by U.S. exchanges and the Financial Industry Regulatory Authority (FINRA), initially was limited to stocks in the Standard & Poor’s 500 Index, but has been extended to stocks in the Russell 1000 Index and to certain exchange-traded products.
Trading and Markets
July 1, 2011 Foreign Currency Exchange (Forex) Trading for Individual Investors
Individual investors who are considering participating in the foreign currency exchange (or “forex”) market need to understand fully the market and its unique characteristics. Forex trading can be very risky and is not appropriate for all investors.
Trading and Markets
May 1, 2011 After-Hours Trading (PDF)
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about after-hours trading for stocks. After-hours trading, also known as extended-hours trading, refers to trading that occurs outside of regular trading hours. Regular trading hours for stocks traded on exchanges and certain other markets are from 9:30 a.m. to 4:00 p.m. Eastern Time. After-hours trading sessions may occur before or after regular trading hours. The duration of after-hours trading sessions varies between markets and trading venues. Investors should contact their brokerage firms to determine if and when after-hours trading sessions are available.
Trading and Markets
March 1, 2011 Trading Basics (PDF)
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the different types of orders they can use to buy and sell stocks through a brokerage firm. The following are general descriptions of some of the common order types and trading instructions that investors may use to buy and sell stocks. Please note that some of the order types and trading instructions described below may not be available through all brokerage firms. Furthermore, some brokerage firms may offer additional order types and trading instructions not described below. Investors should contact their brokerage firms to determine which types of orders and trading instructions are available for buying and selling as well the brokerage firms’ specific policies regarding such available orders and trading instructions.
Trading and Markets
Feb. 1, 2011 New Rules Give Customers Option of All Public Arbitration Panels
The Securities and Exchange Commission approved amendments to FINRA’s rules on January 31, 2011, that will provide customers in all FINRA arbitrations an option of selecting a panel comprised entirely of public arbitrators to serve in customer dispute cases.
Trading and Markets
Feb. 1, 2011 Margin Rules for Day Trading (PDF)
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors regarding the margin rules that apply to day trading in a Regulation T margin account and to respond to a number of frequently asked questions we have received.
Trading and Markets
Jan. 1, 2011 Trading in Cash Accounts (PDF)
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors regarding the rules that apply to trading securities in cash accounts and to highlight the 90-day account freeze which may arise with certain trading activities in these type of accounts.
Trading and Markets
Sept. 1, 2010 Focus on Municipal Bonds
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate individual investors about municipal bonds.
Trading and Markets
Aug. 1, 2010 Trading in Stock After an SEC Trading Suspension -- Be Aware of the Risks
Investors should be very cautious when considering trading in stock after the SEC has suspended trading in the shares. An SEC trading suspension is a “red flag,” often indicating the SEC has concerns about the information that the company has been providing to the public. By law, an SEC suspension usually ends after ten business days, even if the company has not provided current, accurate information about itself. However, when a company does not provide current, reliable information about itself and its finances, trading its shares can be very risky.
Trading and Markets
June 1, 2010 New Rules Improving Municipal Disclosure
The Securities and Exchange Commission approved rule changes on May 26, 2010 designed to improve the quality and timeliness of information available to investors about municipal bonds.
Trading and Markets
  

Date

Date: May 8, 2015

Title: Investor Alert: Automated Investment Tools

Category: Investment Management
Trading and Markets

Date: May 16, 2014

Title: INVESTOR ALERT: MARIJUANA-RELATED INVESTMENTS

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

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: The ABCs of Credit Ratings (PDF)

Category: Trading and Markets

Date: Aug. 1, 2013

Title: Understanding Margin Accounts (PDF)

Category: Trading and Markets

Date: Dec. 1, 2012

Title: Municipal Bonds - Understanding Credit Risk (PDF)

Category: Trading and Markets
Corporation Finance

Date: Sept. 1, 2012

Title: Lost and Stolen Securities (PDF)

Category: Trading and Markets

Date: Sept. 1, 2012

Title: How to Read Confirmation Statements (PDF)

Category: Trading and Markets

Date: June 1, 2012

Title: Municipal Bonds

Category: Trading and Markets

Date: May 1, 2012

Title: DTC Chills and Freezes

Category: Trading and Markets

Date: May 1, 2012

Title: Trading Suspensions (PDF)

Category: Trading and Markets

Date: Aug. 1, 2011

Title: New Stock-by-Stock Circuit Breakers

Category: Trading and Markets

Date: July 1, 2011

Title: Foreign Currency Exchange (Forex) Trading for Individual Investors

Category: Trading and Markets

Date: May 1, 2011

Title: After-Hours Trading (PDF)

Category: Trading and Markets

Date: March 1, 2011

Title: Trading Basics (PDF)

Category: Trading and Markets

Date: Feb. 1, 2011

Title: New Rules Give Customers Option of All Public Arbitration Panels

Category: Trading and Markets

Date: Feb. 1, 2011

Title: Margin Rules for Day Trading (PDF)

Category: Trading and Markets

Date: Jan. 1, 2011

Title: Trading in Cash Accounts (PDF)

Category: Trading and Markets

Date: Sept. 1, 2010

Title: Focus on Municipal Bonds

Category: Trading and Markets

Date: Aug. 1, 2010

Title: Trading in Stock After an SEC Trading Suspension -- Be Aware of the Risks

Category: Trading and Markets

Date: June 1, 2010

Title: New Rules Improving Municipal Disclosure

Category: Trading and Markets

 
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