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Tag: sec

Feb 16
Key Topics for World Investor Week 2021: Investor Bulletin

Oct. 4, 2021 The SEC’s Office of Investor Education and Advocacy, the Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA), and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to highlight some key topics for World Investor Week 2021, a global campaign to […]

Feb 16
Investor Bulletin: Characteristics of Mutual Funds and Exchange-Traded Funds (ETFs)

The Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about mutual funds and ETFs. This Investor Bulletin discusses only ETFs that are registered as open-end investment companies or unit investment trusts under the Investment Company Act of 1940 (the “1940 Act”). It does not address other types of exchange-traded […]

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