SMART CITIES

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…

The SEC’s Office of Investor Education and Advocacy warns investors of the significant risks of short-term investing based on social media, especially in volatile markets, and provides tips for long-term investing. Retail investors may…

Funds such as mutual funds and ETFs that focus on environmental, social, and governance principles (ESG Funds) have gained popularity with investors over time. Investors may hear about these funds from financial professionals, from…

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…

The SEC’s Office of Investor Education and Advocacy (OIEA) wants to educate investors about investing in SPACs. You may have heard the term SPAC recently referred to in the financial or other news.  This bulletin provides a brief…

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.    Leveraged Investment Strategies Leveraged investment…

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. The Difference Between Cash and Margin Accounts A…

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…

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…

The FBI Criminal Investigative Division and the United States Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) warn of fraudsters swindling investors while pretending to be registered brokers or…