Y2K – What you need to know

You can learn more about how the securities industry has prepared for Y2K by using these resources. You can also send us your complaint about a Y2K problem in the securities industry by using our online complaint form.

Remarks of Chairman Arthur Levitt to the President's Council on Year 2000 Conversion, Financial Sector Group Year 2000 Summit (September 17, 1999)

Year 2000 Investor Kit   Tips to help investors prepare for Y2K, including a checklist and answers to frequently asked questions. The kit also has information on securities industry efforts to prevent potential Y2K problems. Free hard copies of the kit can be ordered by calling 1-888-227-1330

Third Report on Y2K readiness   The report presents findings by the SEC staff on the securities industry and public companies readiness for Year 2000.

Reports filed by financial companies   Most broker-dealers, mutual funds, investment advisers, and transfer agents must file reports with the SEC on their Y2K readiness. See what your company has done.

Reports filed by public companies  Public companies must also tell the public and their shareholders how they may be impacted by Y2K and how they are dealing with it. Read the latest in the reports they file with the SEC.

Ask questions  While the government has worked closely with the securities industry to assure that all goes smoothly, here's a list of questions you may want to ask.

For more information  For a broad range of additional information, visit the SEC's page on Y2K.

http://www.sec.gov/news/extra/y2k/y2ktips.htm