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Information for the Individual Investor

About the Office »


The SEC’s Office of Investor Education and Advocacy provides a variety of services and tools to address the problems and questions you may face as an investor. We cannot tell you what investments to make, but we can help you to invest wisely and avoid fraud.  Learn more about the Office of Investor Education and Advocacy.

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Investor Tools

  • Submit a Complaint or Ask a Question
  • Check out Brokers and Advisers
  • Glossary
  • Free Financial Tools
  • Información en Español

Publications


  • For Seniors - Protect Yourself Against Investment Fraud
  • Mutual Funds and ETFs - A Guide for Investors
  • Questions You Should Ask About Your Investments
  • Saving and Investing - A Roadmap To Your Financial Security Through Saving and Investing


Information on How Investors May Recover Funds


  • Investors Claims Funds
  • SEC Administrative Proceedings (Fair Funds)
  • Commission Rules on Fair Funds and Disgorgement Funds
  • SIPC Website


Contact Us


  • Ask a Question
  • How to Request Public Documents
  • Questions You Should Ask About Your Investments
  • Send us a Letter or Fax
  • Call us at 1-800-SEC-0330

Studies


  • SEC Staff Study Regarding Financial Literacy Among Investors
    • Library of Congress Report on Financial Literacy
    • Investor Research Report
    • Appendix to Investor Research Report
  • Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers
  • Library of Congress Report: Behavioral Patterns of U.S. Investors
  • 2008 Research on Individual Investors' Use of SEC Disclosure Documents


Public Alert: Unregistered Soliciting Entities (PAUSE)


  • List of Unregistered Soliciting Entities That Have Been the Subject of Investor Complaints

Latest Alerts & Bulletins »

  • Investor Alert: Self-Directed IRAs and the Risk of Fraud
    Feb. 7, 2023
  • Trading Prohibitions on Foreign Companies Under the HFCAA: Investor Bulletin
    Jan. 9, 2023
  • Investor Alert: Identity Theft, Data Breaches and Your Investment Accounts
    Nov. 17, 2022

Tweets by @SEC_Investor_Ed

Modified: Dec. 29, 2016

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