Investor Alerts and Bulletins The SEC’s Office of Investor Education and Advocacy provides a variety of services and tools to address problems you may face as an investor.
Investor Alerts, focused on recent investment frauds and scams, and Investor Bulletins, focused on topical issues including recent Commission actions, are provided as a service to investors.
Investor Alerts and Bulletins The SEC’s Office of Investor Education and Advocacy provides a variety of services and tools to address problems you may face as an investor. Investor Alerts, focused on recent investment frauds and scams, and Investor Bulletins, focused on topical issues including recent Commission actions, are provided as a service to investors. They are neither legal interpretations nor statements of SEC policy. If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law. Subscribe to get Investor Alerts and Bulletins by email.
-
Funds Trading in Bitcoin Futures – Investor Bulletin
on June 10, 2021 at 9:09 pm
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 understand that Bitcoin, including gaining exposure through the Bitcoin futures market, is a highly speculative investment. As such, investors should consider the volatility of Bitcoin and the Bitcoin futures market, as well as the lack of regulation and potential for fraud or manipulation in the underlying Bitcoin market.
-
Investor Bulletin: How to Open a Brokerage Account
on June 10, 2021 at 9:00 pm
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, which generally are governed by different rules and regulations. For information on opening an advisory account, please see our bulletin: Opening an Investment Advisory Account. For additional information on working with broker-dealers and investment advisers, please see Investor.gov’s Working with Brokers and Investment Advisers. Before opening an account with any broker, you should always remember to read the firm’s relationship summary (Form CRS) and check the broker's background and disciplinary history. For guidance in finding a broker's background or disciplinary history, as well as other tips to consider when selecting a broker, please read our bulletin How to Select an Investment Professional.
-
Investor Bulletin: Understanding Margin Accounts
on June 10, 2021 at 8:34 pm
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.
-
Leveraged Investing Strategies – Know the Risks Before Using These Advanced Investment Tools
on June 10, 2021 at 8:02 pm
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.
-
What You Need to Know About SPACs – Updated Investor Bulletin
on May 25, 2021 at 8:40 pm
-
Celebrity Involvement with SPACs – Investor Alert
on March 10, 2021 at 3:03 pm
-
Environmental, Social and Governance (ESG) Funds – Investor Bulletin
on February 26, 2021 at 4:15 pm
-
Thinking About Investing in the Latest Hot Stock?
on January 30, 2021 at 11:37 pm
SEC issues investor alert on significant risks of short-term trading based on social media.
-
Updated Investor Bulletin: Insider Transactions and Forms 3, 4, and 5
on January 26, 2021 at 7:00 pm