Online Publications for Investors
Subject Listing

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American Depositary Receipts (ADRs)

• International Investing: Get the Facts

Arbitration

• Arbitration
• Arbitration, How To Find a Lawyer Specializing in Securities
• Arbitration/Mediation Clinics in California, New York, and Pennsylvania
• Arbitration Procedures
• Complaints and Questions

Auditing

• All About Auditors: What Investors Need to Know

Bankruptcy

• Bankruptcy: What Happens When Public Companies Go Bankrupt

Banks and Banking

• Advance Fee Fraud Schemes
• Banking Regulators
• “Mutual-to-Stock” Conversions: Tips for Investors
• Warning to All Investors About Bogus "Prime Bank" and Other Banking-Related Investment Schemes

Bonds

• Bond Funds
• Callable and Redeemable Bonds
• Late Payment of Interest on Bonds

Brokers and Brokerages

• Accounts—Opening A Brokerage Account
• All About Auto-trading
• Analyzing Analyst Recommendations
• Broker - Dealer Registration: Where to File
• Cold Calling: Unsolicited Calls From Brokers
• Compliance Guide to the Registration and Regulation of Brokers and Dealers
• Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices
• Form for Taking Notes
• Get the Facts on Saving and Investing
• Invest Wisely
• Protect Your Money: Check Out Brokers and Investment Advisers
• Subordination Agreements — Understand the Risks (FINRA Alert)
• Trade Execution: Rules Your Brokerage Firm Must Follow
• Trade Execution: What Every Investor Should Know
• Transferring Your Brokerage Account: Tips on Avoiding Delays
• Online, Electronic Accounts
• Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information

Certificates of Deposit

• Certificates of Deposit: Tips for Investors

Corporations — Directors and Officers

• Executive Compensation: Where to Find in SEC Reports

EDGAR (SEC's online database of company reports)

• Corporate Reports, How to Get
• Forms 3, 4 5
• How Do I Use EDGAR?
• Researching Public Companies Through EDGAR

Financial Statements

• Beginners' Guide to Financial Statements
• Corporate Reports, How to Get
• Getting Info about Companies
• Information About Some Companies Not Available From the SEC
• A Plain English Handbook
• Pro Forma Financial Info

Fraud

• Advance Fee Fraud Schemes
• Affinity Fraud: How to Avoid Investment Scams That Target Groups (also available in Creole)
• Auto-Surfing: What You Need to Know
• Avoiding Internet Investment Scams: Tips for Investors
• Broken Promises: Promissory Note Fraud
• CFTC Warning About Foreign Currency Trading Frauds
• Cold Calling: Unsolicited Calls From Brokers
• Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit
• The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks
• SEC Warns of Government Impersonators
• "High Yields" and Hot Air
• How To Avoid Fraud
• Identity Theft: Learn How To Protect Yourself
• Information Matters
• Internet Fraud: How to Avoid Internet Investment Scams
• Microcap Stock: A Guide For Investors
• “Mutual-to-Stock” Conversions: Tips for Investors
• Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yourself
• "Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen
• Pump&Dump.con: Tips for Avoiding Stock Scams
• SIPC Exposes Phony "Look-Alike" Web Site
• Stock Market Fraud "Survivor" Checklist
• Warning to All Investors About Bogus "Prime Bank" and Other Banking-Related Investment Schemes
• Worthless Stock: How to Avoid Doubling Your Losses
• "Wrong Numbers" and Stock Tips on Your Answering Machine
• Identity Theft
• Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information

Futures

• Commodity Futures Trading Commission

Hedge Funds

• Hedge Funds: Investor Alert from FINRA
• Hedging Your Bets: A Heads Up on Hedge Funds and Funds of Hedge Funds

Insider Trading

• Forms 3, 4 5
• Guide to Insider Trading: Online Publications at the SEC
• Insider Trading

Insurance

• Life
• Exchanging Life Insurance Policies: Investor Alert From FINRA
• Variable Annuities
• Variable Annuities
• Variable Annuities and Variable Life Products: Questions to Ask

Investment Advisers, Advisors

• Financial Planners
• Get the Facts on Saving and Investing
• Investment Advisers: What You Need to Know Before Choosing One
• Protect Your Money: Check Out Brokers and Investment Advisers
• Understanding Investment Professional Designations (tips from FINRA)

Investment Clubs

• Investment Clubs and the SEC

Investment Companies

• Closed-End Funds
• Exchange Traded Funds (ETFs)
• Information Available to Investment Company Shareholders
• Interval Funds
• Investment Companies
• Periodic Payment Plans
• Unit Investment Trusts (UITs)

Investments

• Calculators, Planning
• Financial Planners
• Get the Facts on Saving and Investing
• Mutual Fund Cost Calculator
• The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds
• Taking Stock: Getting Your Fiscal Act Together
• Foreign (Non-U.S.)
• International Investing: Get the Facts
• Internet
• Avoiding Internet Investment Scams: Tips for Investors
• Internet Fraud: How to Avoid Internet Investment Scams
• Stock Market Fraud "Survivor" Checklist
• Pump&Dump.con: Tips for Avoiding Stock Scams
• Tips for Online Investing
• Prepaid Tuition, College Savings Plan
• Introduction to 529 Plans
• Products,Choices
• Beginner's Guide to Asset Allocation, Diversification, and Rebalancing
• Direct Investment Plans: Buying Stock Directly from the Company
• Initial Public Offerings: Why Individuals Have Difficulty Getting Shares
• Investment Choices and Methods
• Risky Business: "Pre-IPO" Investing
• Research, Education
• Analyzing Analyst Recommendations
• Ask Questions
• Beginners' Guide to Asset Allocation, Diversification, and Rebalancing
• Beginners' Guide to Investing
• Beginners' Guide to Mutual Funds
• CFTC Warning About Foreign Currency Trading Frauds
• Corporate Reports, How to Get
• Executive Compensation: Where to Find in SEC Reports
• Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit
• Get Info About Companies
• Get the Facts on Saving and Investing
• Guide to Identifying and Avoiding Securities Fraud
• "High Yields" and Hot Air
• Information About Some Companies Not Available From the SEC
• Information Matters
• Introduction to 529 Plans
• Invest Wisely
• Invest Wisely: An Introduction to Mutual Funds
• Investing and Gambling Problems: Some Investors May be at Risk for Gambling out of Control In the Stock Market and other Financial Markets
• Stock Market Fraud "Survivor" Checklist
• A Plain English Handbook
• Pregunte (folleto en Espanol) ("Ask Questions" brochure in Spanish)
• Researchers and Librarians – Easy Access to Selected Securities and Investor Information at the SEC
• Subordination Agreements — Understand the Risks (FINRA Alert)
• Taking Stock: Getting Your Fiscal Act Together
• Retirement Income
• Beginner's Guide to Asset Allocation, Diversification, and Rebalancing
• Evaluating Your Retirement Options: The 403(b) Plan

Investors

• Accredited Investors
• Complaints, Investigations
• About the SEC's Office of Investor Education and Advocacy
• Affinity Fraud: How to Avoid Investment Scams That Target Groups (also available in Creole)
• Ask Questions
• Beginners' Guide to Investing
• Broken Promises: Promissory Note Fraud
• Get the Facts on Saving and Investing
• Pregunte! Preguntas que usted debe hacer acerca de sus inversiones...Y que debe hacer si encuentra problemas [ Pregunte (folleto en Espanol)] ("Ask Questions" brochure in Spanish)
• SEC Complaint Center
• Foreign, (Non-U.S.)
• The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U. S. Stocks
• Worthless Stock: How to Avoid Doubling Your Losses
• Privacy Rights, Protections
• The Investor's Advocate: How the SEC Protects Investors and Maintains Market Integrity
• Identity Theft: Learn How To Protect Yourself
• Privacy Choices for Your Personal Financial Information
• Seniors
  • A Guide for Seniors: Protect Yourself Against Investment Fraud.

Mutual Funds

• Beginners' Guide to Mutual Funds
• Breakpoints
• Index Funds
• Information Available to Investment Company Shareholders
• Invest Wisely: An Introduction to Mutual Funds
• Making the Most of Mutual Fund Breakpoints
• Mutual Fund Classes
• Mutual Fund Fees and Expenses
• Mutual Fund Investing: Look at More Than a Fund's Past Performance
• Mutual Fund Prospectus
• Mutual Fund Proxy Voting Records and Policies
• Mutual Fund Cost Calculator
• Ultra-Short Bond Funds: Know Where You're Parking Your Money

Options

• Options Trading

Promissory Notes

• Broken Promises: Promissory Note Fraud
• Promissory Notes: Promises, Problems

Securities Investor Protection Corp.

• Securities Investor Protection Corporation (SIPC)
• SIPC Exposes Phony "Look-Alike" Web Site

Small Business

• Q&A: Small Business and the SEC
• Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries

Stock

• Certificates
• Stock and Bond Certificates, Old
• Stock Certificates, Lost, Stolen
• Stock Certificates, Proving Ownership
• Dividends
• Ex-Dividend Dates: When Are You Entitled to Stock and Cash Dividends
• Exchanges
• Circuit Breakers and Other Market Volatility Procedures
• Trading Halts and Delays
• Indexes
• Market Indices
• Prices
• Closing Price

Tender Offers

• Mini-Tender Offers: Tips For Investors

Trading Securities

• About Setting Trades In Three Days: T+ 3
• After-Hours Trading: Understanding the Risks
• Circuit Breakers and Other Market Volatility Procedures
• Convertible Securities
• Defunct Company, Stock Continues to Trade
• Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices
• Holding Your Securities—Get the Facts
• Information About Some Companies Not Available From the SEC
• Initial Public Offerings: Why Individuals Have Difficulty Getting Shares
• Microcap Stock: A Guide For Investors
• Restricted Securities: Removing the Restrictive Legend
• Short Sales Restrictions
• Trade Execution: Rules Your Brokerage Firm Must Follow
• Trade Execution: What Every Investor Should Know
• Trading Halts and Delays
• Trading Suspensions! When the SEC Suspends Trading a Stock
• Transfer Agents
• Day Trading
• Day Trading
• Day Trading Margin Requirements (tips from FINRA)
• Day Trading: Your Dollars at Risk
• Online, Electronic Trading
• Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information
• Tips for Online Investing
• Margin, Purchase Agreement
• Day Trading Margin Requirements (tips from FINRA)
• Margin: Borrowing Money To Pay for Stocks
• Laws, Rules and Regulations
• Compliance Guide to the Registration and Regulation of Brokers and Dealers
• Going Private
• The Investor's Advocate: How the SEC Protects Investors and Maintains Market Integrity
• Key Points About Regulation SHO
• Registration Under the Securities Act of 1933
• Researching the Federal Securities Laws Through the SEC Website
• Rule 144: Selling Restricted and Control Securities
• Rule 504 of Regulation D
• Rule 505 of Regulation D
• Rule 506 of Regulation D

US Securities and Exchange Commission

• Divisions and Offices
• About the SEC's Office of Investor Education and Advocacy
• The Investor's Advocate: How the SEC Protects Investors and Maintains Market Integrity
• Guides, Handbooks, Research-Tools
• Compliance Guide to the Registration and Regulation of Brokers and Dealers
• A Plain English Handbook: How to Create Clear SEC Disclosure Documents
• Researchers and Librarians – Easy Access to Selected Securities and Investor Information at the SEC
• Researching the Federal Securities Laws Through the SEC Website
• Researching Public Companies Through EDGAR

http://www.sec.gov/investor/pubs_subject.shtml