Tag: sec

Aug. 29, 2022 Fraudsters often use social media to scam investors.  The SEC’s Office of Investor Education and Advocacy encourages you to be skeptical and never make investment decisions based solely on information from social media platforms or apps. Investors increasingly rely on social media for information about investing.  While social media can provide many […]

Aug. 17, 2022 The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about investing in unregistered securities offerings, sometimes called private placements, under Regulation D of the Securities Act.  What is a private placement?                                                   Under the federal securities laws, a company may not offer or sell securities unless […]

Aug. 3, 2022 The SEC’s Office of Investor Education and Advocacy, along with the Office of International Affairs, the Office of the Chief Accountant, the Division of Corporation Finance, and the Division of Trading and Markets, is issuing this Investor Bulletin to highlight for investors of affected companies the consequences under the HFCAA. What is […]

As a teacher, you have a number of choices to make when investing for retirement. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help teachers make informed investment decisions, including about 403(b) and 457(b) plans — tax-advantaged retirement savings programs often offered to teachers of public educational institutions.  More […]

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the arbitration and mediation processes involving a customer dispute with a broker-dealer.  The Financial Industry Regulatory Authority (“FINRA”) provides the main forum for resolving securities-related disputes between customers and broker-dealers.  Arbitration and mediation are two distinct ways […]

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about extended-hours trading for stocks. Extended-hours trading, refers to trading that occurs outside of regular trading hours. Regular trading hours for stocks traded on exchanges and certain other markets are from 9:30 a.m. to 4:00 p.m. Eastern Time. […]

Investors should be aware that false statements may be made — including in company press releases, promotional materials, and social media posts — about a company offering or developing products that prevent, detect, or treat COVID-19, in order to inflate the value of a company’s stock.  Fraudulent stock promotions of these companies also may be […]

One of the best ways to build wealth is by saving and investing over a long period of time. The earlier you start, the easier it is for your money to grow. Opening your first investment account is a key step in beginning your investment journey. As a college student, you may receive offers to […]

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors ask informed questions about the interest a brokerage firm charges for margin accounts.  A “margin account” is a type of brokerage account in which your broker-dealer lends you cash (“margin loans”), using the securities and money that you hold […]

Nov. 19, 2021 The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn you of communications – including phone calls, voicemails, emails, and letters – that may falsely appear to be from the SEC.   We are aware that several individuals recently received phone calls or voicemail messages that appeared […]