News
Nov. 9, 2020 The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about investing in fractional shares. What are Fractional Shares? A fractional share is when you own less than one full share of a stock or other security. Why Invest in Fractional Shares? Fractional shares are […]
Oct. 5, 2020 The SEC’s Office of Investor Education and Advocacy, the Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA), and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to highlight key messages from World Investor Week 2020, a global campaign to raise […]
Sept. 29, 2020 After a natural disaster strikes, fraudsters may try to take advantage of individuals who want to help fund recovery efforts or who receive lump sum insurance payouts. Fraudsters may use recent natural disasters, including Hurricane Laura, Hurricane Sally, and the wildfires on the West Coast, to lure victims into investment scams. These […]
Sept. 25, 2020 The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about closed-end funds that are traded on national securities exchanges. It is important to understand them and their risks before investing. What are closed-end funds? A closed-end fund is one of three main types […]
Sept. 25, 2020 The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about business development companies, or BDCs, that are traded on national securities exchanges. It is important to understand them before investing. What are BDCs? BDCs are a type of closed-end investment fund. They are […]
Sept. 25, 2020 The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about interval funds. Interval funds are legally classified as closed-end funds, a type of investment company, but they have some distinctive features that make them different from typical closed-end funds. Some important features of interval […]