SEC.gov Updates: 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. These Investor Alerts and Investor Bulletins, focused on topical issues including recent Commission actions,

Latest articles

COVID-19 Related Early Withdrawals from Retirement Accounts—Be Careful of Fraudsters and other Bad Actors Targeting Your Retirement Savings

The CARES Act of 2020 provides significant relief for businesses and individuals affected by the COVID-19 pandemic. This includes allowing retirement investors affected by the coronavirus to gain access to up to $100,000 of their retirement savings without being subject to early withdrawal penalties and with an expanded window for paying the income...

Frauds Targeting Main Street Investors -- Investor Alert

The SEC’s Office of Investor Education and Advocacy (OIEA) and the Division of Enforcement’s Retail Strategy Task Force are issuing this Alert to educate Main Street investors about current investment frauds, including scams related to the Coronavirus (COVID-19) pandemic.

Investor Bulletin: Please Consider Adding a Trusted Contact to Your Account

The SEC’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to urge you to consider adding a “trusted contact person” to your brokerage account.

Look Out for Coronavirus-Related Investment Scams - Investor Alert

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about investment frauds involving claims that a company’s products or services will be used to help stop the coronavirus outbreak.

Initial Exchange Offerings (IEOs) – Investor Alert

The SEC’s Office of Investor Education and Advocacy is issuing this alert to urge investors to use caution before investing in so-called “initial exchange offerings” through online trading platforms.

Beware of Spoofed Websites Offering Phony Certificates of Deposit – Investor Alert

The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert to warn investors about phony Certificates of Deposit (CDs) promoted through internet advertising and “spoofed” websites – websites that mimic the actual sites of legitimate financial institutions. Investors should be extremely cautious when purchasing CDs from...

Don’t Buy Into an Investment Scam – Investor Alert

The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force (RSTF) urge investors to look for red flags of fraud before paying for investments by credit card or wire transfer.

Don’t Fall for an Investment Scam – Investor Alert

The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force (RSTF) want Main Street investors to be aware of tactics fraudsters use to lure investors into scams. This Alert presents actual videos that defendants in SEC enforcement actions allegedly used as part of their investment frauds.

Three Tips for World Investor Week 2019: Investor Bulletin

The SEC’s Office of Investor Education and Advocacy, the Commodity Futures Trading Commission (CFTC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to highlight key messages from World Investor Week 2019, a global campaign to raise awareness...

Watch Out for Scammers Posing as SEC Employees – Investor Alert

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors that fraudsters sometimes pose as SEC employees. Do not send money, or personal information, to anyone claiming to be from the SEC without verifying their identity using the steps described in this Alert.

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