Category: Uncategorized

Sept. 1, 2021 The SEC’s Office of Investor Education and Advocacy (OIEA) and Division of Enforcement’s Retail Strategy Task Force (RSTF) remind investors to watch out for investment schemes involving digital assets and “Crypto.” Fraudsters continue to exploit the rising popularity of digital assets to lure retail investors into scams, often leading to devastating losses.  […]

The FBI Criminal Investigative Division and the United States Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) warn of fraudsters swindling investors while pretending to be registered brokers or investment advisers. Fraudsters may falsely claim to be registered with the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) or […]

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 […]

Feb. 26, 2021 Funds such as mutual funds and ETFs that focus on environmental, social, and governance principles (ESG Funds) have gained popularity with investors over time. Investors may hear about these funds from financial professionals, from investment-focused online sites, or even from popular media. The SEC’s Office of Investor Education and Advocacy is issuing […]

Companies whose securities are admitted to trading on a regulated market must apply ESEF. You find here questions and answers on the European Single Electronic Format reporting and eCorporate. Read more in the Handbook FSMA_2021_19 … Source: FSMA