The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy and the North American Securities Administrators Association (NASAA) are jointly issuing this Investor Bulletin to help investors better understand the titles used by financial professionals.
All: Investor Alerts & Tips
With energy demands and a desire for energy independence increasing globally, investments in traditional and alternative energy resources are being promoted more often and are becoming attractive to more investors.
Whether you are just starting a retirement fund or need additional help with growing and managing your money, you may benefit from selecting an investment services professional. Finding a person who is knowledgeable, affordable, and trustworthy may be a challenging process.
Learn about the risks associated with private placement offerings.
On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups (JOBS) Act, a series of legislative provisions intended to facilitate capital formation in the United States. Part of this legislation included the CROWDFUND Act, which makes significant changes in current federal and state securities laws. The CROWDFUND Act will allow entrepreneurs […]
Are you an informed investor? Crowdfunding The Internet has become an inexpensive and easy way for individuals and businesses to raise money for their activities. Congress recently passed the JOBS Act, which directs the Securities and Exchange Commission (SEC) to create rules exempting crowdfunding from the securities registration laws. Once implemented these rules will remove restrictions on start-up […]
February 1, 2012 – Following the Federal Reserve’s announcement that interest rates are expected to remain low until at least late 2014, NASAA today cautioned investors to beware of risky or outright fraudulent investments promising higher yield or returns.
The SEC and NASAA warn investors of the potential risks associated with investing through self-directed Individual Retirement Accounts (self-directed IRAs).
Social networking in the Internet age allows people to connect to one another
more quickly and easily than ever before. Investment promoters increasingly are
logging on to find investors … and their money.
The top 10 financial products and practices that threaten to trap unwary investors, compiled by the securities regulators in NASAA’s Enforcement Section.