News

The Securities and Exchange Commission’s (SEC’s) Office of Investor Education and Advocacy (OIEA) and the Commodity Futures Trading Commission’s (CFTC’s) Office of Customer Education and Outreach (OCEO) urge investors considering a fund with exposure to the Bitcoin futures market to weigh carefully the potential risks and benefits of the investment. Among other things, investors should […]

The SEC’s Office of Investor Education and Advocacy is updating this Investor Bulletin to help you understand what to expect when opening a brokerage account, including what information you will need to provide, what decisions you will be asked to make, and what questions you should ask your broker. Brokerage accounts differ from investment advisory accounts, […]

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about the use of margin accounts to buy securities and their related risks. The Difference Between Cash and Margin Accounts A “cash account” is a type of brokerage account in which you must pay the full amount for securities […]

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the risks of using leveraged investment strategies.    Leveraged Investment Strategies Leveraged investment strategies attempt to magnify an investment’s return through: 1. borrowing money (margin), 2. using options, or 3. investing in securities that use leverage such […]

The SEC’s Office of Investor Education and Advocacy (OIEA) wants to educate investors about investing in SPACs. You may have heard the term SPAC recently referred to in the financial or other news.  This bulletin provides a brief overview for investors of important concepts when considering investing in a SPAC, both (1) when the SPAC […]

The SEC’s Office of Investor Education and Advocacy (OIEA) cautions investors not to make investment decisions related to SPACs based solely on celebrity involvement.  Celebrities, from movie stars to professional athletes, can be found on TV, radio, and social media endorsing a wide variety of products and services.  Sometimes they are even involved in investment opportunities […]