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.

Search: To search the full text of these Bulletins enter a keyword or phrase

Date
Title
Category
Date: Title: 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.
Category:Trading and Markets
Date: Title: Stanford Investors
On March 12, 2009, U.S. District Court Judge David C. Godbey issued an order at the request of Stanford court-appointed receiver Ralph S. Janvey unfreezing approximately 16,000 Stanford investor accounts at Pershing LLC and J.P. Morgan Clearing Corp., unless an exception described in the order applies.
Category:Enforcement
Date: Title: Information for Stanford Investors
On March 12, 2009, U.S. District Court Judge David C. Godbey issued an order at the request of Stanford court-appointed receiver Ralph S. Janvey unfreezing approximately 16,000 Stanford investor accounts at Pershing LLC and J.P. Morgan Clearing Corp., unless an exception described in the order applies.
Category:Enforcement
Date: Title: 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).”
Category:Corporation Finance
Date: Title: Spotlight on Proxy Matters
Category:Corporation Finance
Date: Title: Early Retirement Seminars: Smart Tips for Spotting Retirement Scams
Category:Enforcement
Date: Title: 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.
Category:Corporation Finance
Date: Title: 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.
Category:Trading and Markets
Date: Title: Indexed Annuities
An indexed annuity is a type of contract between you and an insurance company. During the accumulation period – when you make either a lump sum payment or a series of payments – the insurance company credits you with a return that is based on changes in a securities index, such as the S&P 500 Composite Stock Price Index. Indexed annuity contracts also provide that the contract value will be no less than a specified minimum, regardless of index performance. After the accumulation period, the insurance company will make periodic payments to you under the terms of your contract, unless you choose to receive your contract value in a lump sum.
Category:Investment Management
Date: Title: Pre-IPO Investment Scams
The SEC’s Office of Investor Education and Advocacy is issuing this updated Investor Alert to warn investors about investment scams that purport to offer investors the opportunity to buy pre-IPO shares of companies, including social media and technology companies such as Facebook and Twitter. SEC staff is aware of a number of complaints and inquiries about these types of frauds, which may be promoted on social media and internet sites, by telephone, email, in person, or by other means.
Category:Enforcement
Date: Title: 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.
Category:Corporation Finance
Date: Title: 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.
Category:Trading and Markets
Date: Title: 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.
Category:Trading and Markets
Date: Title: 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.
Category:Trading and Markets
Date: Title: Top 11 Tips for 2011 (PDF)
Category:Agency-Wide
Date: Title: Life Settlements
The Office of Investor Education and Advocacy is issuing this Investor Bulletin to highlight information about life settlements and some of the risks these types of transactions may pose for investors. Individual investors considering a life settlement transaction may wish to keep the following points in mind and seek guidance from an unbiased financial professional who will not receive a commission or any other financial benefit from the transaction.
Category:Agency-Wide
Date: Title: Money Market Funds: Staff Responses to Questions about Information Filed on Form N-MFP
Category:Investment Management
Date: Title: Investor Warning Regarding Web-Based Scheme Defrauding Deaf Investors
The Securities and Exchange Commission (“SEC”) has charged an Internet-based investment company, Imperia Invest IBC (“Imperia”), with securities fraud for soliciting several million dollars from U.S. investors and promising guaranteed annual returns in excess of 1.2% per day while in reality siphoning the funds into foreign bank accounts and not paying any money back to investors.
Category:Enforcement
Date: Title: BP Payout Recipients: Be on the Lookout for Investment Scams
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors, including individuals and small businesses receiving lump sum payouts from BP related to the oil spill in the Gulf, about potential investment frauds that target recipients of lump sum payouts.
Category:Enforcement
Date: Title: 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.
Category:Trading and Markets
Date: Title: 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.
Category:Trading and Markets
Date: Title: New Rule to Curb “Pay to Play” Practices
The Securities and Exchange Commission approved a new rule on June 30, 2010 to curbso-called “pay to play” practices in which investment advisers make campaign contributions to elected officials in order to influence the award of contracts to manage public pension plan assets and other government investment accounts.
Category:Investment Management
Date: Title: 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.
Category:Trading and Markets
Date: Title: Investors Beware of Entity Calling Itself "U.S. Securities and Equities Administration"
The staff of the United States Securities and Exchange Commission (SEC) is issuing this Investor Alert about an entity calling itself the “U.S. Securities and Equities Administration” and other similar names, including the “U.S. Securities Administration” or the “U.S. Securities Bureau.”
Category:Enforcement
Date: Title: Oil Spill Stock Scams - Don't Get Cleaned Out by False Cleanup Claims
The oil spill in the Gulf of Mexico poses more than an environmental and economic threat to the region. It also poses a financial threat to investors in the form of scams promising financial gains from investments in companies that claim to be involved in cleanup operations.
Category:Enforcement
Date: Title: Target Date Retirement Funds
Investing for retirement can be complex. When deciding where to invest, you may need to make a variety of decisions, including how to balance the risk of losing money with the desire to increase your returns, keeping in mind that inflation may reduce the purchasing power of your savings and you or your spouse or partner may live longer in retirement than you expect. Recognizing this, a number of companies offer “target date retirement funds,” sometimes referred to as “target date funds” or “lifecycle funds.”
Category:Investment Management
Date: Title: Investor Warning Relating to Eric V. Bartoli, Enrico Orlandini, and DT Analysis a/k/a and Dow Theory Analysis SAC
The staff of the Securities and Exchange Commission (SEC) has received credible information suggesting that an individual named Eric Bartoli, who was previously sued by the SEC for securities fraud, may currently be located in Peru and engaged in securities solicitations of investors, using the alias Enrico Orlandini.
Category:Enforcement
Date: Title: SEC Investor Alert on Phony SIPC "Look-Alike" Website Targeting Madoff Victims
Category:Enforcement
Date: Title: Information for Reserve Primary Fund Investors
Category:Enforcement
Date: Title: Information Concerning Malaysian Restitution Fund for SwissCash Investors
This Alert concerns a restitution fund established by the Securities Commission Malaysian (“Malaysian SC”) in a settlement involving various entities operating under the name “Swisscash”, including “Swiss Mutual Fund (1948),” and through websites encompassing variations on the names “Swisscash” and “SwissMutualFund.”
Category:Enforcement
Date: Title: SEC-FINRA Investor Alert on Leveraged and Inverse ETFs
The SEC staff and FINRA are issuing this Alert because we believe individual investors may be confused about the performance objectives of leveraged and inverse exchange-traded funds (ETFs).
Category:Investment Management
Date: Title: Prime Bank Fraud Information Center
Category:Enforcement
Date: Title: Financial Navigating in the Current Economy
Category:Agency-Wide
  • Show
  • Items
201 to 233 of 233 items