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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.

Recent Alerts and Bulletins

How Fees and Expenses Affect Your Investment Portfolio New (February 2014)

Variable Annuities—An Introduction New (February 2014)

Delinquent Filings (November 2013)

The ABCs of Credit Ratings (October 2013)

Beware of Pyramid Schemes Posing as Multi-Level Marketing Programs (October 2013)

SEC Warns of Fake Correspondence (October 2013)

Investment Scams Exploit Immigrant Investor Program (October 2013)

Advertising for Unregistered Securities Offerings (September 2013)

Accredited Investors (September 2013)

Making Sense of Financial Professional Titles (September 2013)

Understanding Margin Accounts (August 2013)

Ponzi Schemes Using Virtual Currencies (July 2013)

List of Alerts and Bulletins by General Topic

List of Alerts and Bulletins by Date

Modified: 2/19/2014