News

The SEC’s Office of Investor Education and Advocacy warns investors of the significant risks of short-term investing based on social media, especially in volatile markets, and provides tips for long-term investing. Retail investors may seek to profit from volatile markets by buying individual stock, including stock in heavily-promoted companies with smaller market capitalizations. Some of these […]

Jan. 26, 2021 The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about SEC Forms 3, 4, and 5. The federal securities laws require certain individuals (such as officers, directors, and those that hold more than 10% of any class of a company’s securities, together we’ll call, […]

Jan. 26, 2021 A company has just released its quarterly earnings. Another company has auditor news that could raise a red flag, and a third company is filing for bankruptcy. Where can you find more facts? Information about these events and many more are found in a document called a current report on Form 8-K.  […]

Jan. 25, 2021 If you want to follow or invest in a U.S. public company, you can find a wealth of information in the company’s annual reports on Form 10-K and quarterly reports on Form 10-Q. Among other things, the 10-K and 10-Q offer a detailed picture of a company’s business, the risks it faces, […]

Jan. 15, 2021 Whether you separate after only a few years or retire with 20 plus, know the steps you can take to continue to build wealth throughout and after your military career.  Learn more at Investor.gov/military and DoD’s Financial Readiness website. INVESTMENTS CAN HELP YOU BUILD WEALTH Investments in stocks, mutual funds, and ETFs can […]

Jan. 8, 2021 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 margin account and to respond to a number of frequently asked questions we have received related to these rules. What is a “day trade”? […]