Tag: sec

Feb. 14, 2022 The SEC’s Office of Investor Education and Advocacy and the Division of Enforcement’s Retail Strategy Task Force are issuing this Investor Bulletin to educate investors about risks with accounts that pay interest on crypto asset deposits. Crypto assets, including so-called cryptocurrencies, stablecoins, tokens, and other digital assets have been of increasing interest […]

Sept. 20, 2021 The SEC’s Office of Investor Education and Advocacy, along with the Office of the Chief Accountant and the Division of Corporation Finance, is issuing this Investor Bulletin to educate individual investors about risks associated with investing in certain companies that provide exposure to China-based businesses. Chair’s Statements.   Review the SEC’s Chair’s statement […]

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about what it means to be an “accredited investor.”  What does it mean to be an accredited investor? Under the federal securities laws, only persons who are accredited investors may participate in certain securities offerings.  One reason these […]

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about Regulation A.  Regulation A is an exemption from registration under the Securities Act that allows companies to raise money from the public in securities offerings of up to $75 million. What is Regulation A? Regulation A allows companies […]

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about securities-based crowdfunding. Crowdfunding generally refers to a financing method in which money is raised through soliciting relatively small individual investments or contributions from a large number of people.  Companies can use Regulation Crowdfunding to offer and sell securities […]

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 […]

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.  […]

Dec. 14, 2021 The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the SEC’s rules and regulations related to trading suspensions.  The federal securities laws generally allow the SEC to suspend trading in any stock for up to ten business days.  This bulletin answers some of […]

Dec. 17, 2021 The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to help investors understand what happens when a fund closes and distributes its assets, or “liquidates.”   What is a fund liquidation? A fund liquidation occurs when a fund closes down its operations completely, sells off its assets and generally […]