Category: Regulations

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”? […]

Dec. 14, 2020 The SEC has recently experienced a significant uptick in tips, complaints, and referrals involving investment scams. The SEC’s Office of Investor Education and Advocacy urges investors to be on high alert in order to protect themselves and others from becoming victims of investment fraud. Fraudsters use times of uncertainty and change, such […]

ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of CE Credit Management IV and CE Credit Management Invest Fund 1 (ISIN NL0012354963 and NL0013526866) on Euronext Brussels is suspended on the request of the company from 26/11/2021 at […]

ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Resilux, BE0003707214 on Euronext Brussels will re-open on 26/11/2021 at 12:00 CET. Source: FSMA

ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Resilux, BE0003707214, on Euronext Brussels is suspended from 26/11/2021 at 09:00 CET until the publication of a press release. Source: FSMA