Category: SEC ADVISORIES

Securities and Exchange Commission (SEC) Advisories are official communications issued by the SEC to provide guidance, interpretations, or alerts concerning compliance with securities laws and regulations in the United States. These advisories cover a wide range of topics including investor protection, disclosure requirements, market practices, and regulatory changes. They aim to educate market participants, issuers, investment professionals, and the public about current issues, risks, and best practices in the securities markets. SEC Advisories serve to clarify regulatory expectations, highlight emerging trends or threats, and promote compliance with the laws governing the trading and issuance of securities, ultimately fostering transparency and confidence in the financial markets.

SEC 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.

SEC-PR-2024-74

File ID:  SEC-PR-2024-74 Date:  June 17, 2024 Accessed:  July 11, 2024 Headline:  Securities and Exchange Commission’s New Public Service Campaign Emphasizes Investor Protection Source:  https://www.sec.gov/newsroom/press-releases/2024-74 Categories: AGENCY ADVISORIES SEC ADVISORIES INVESTOR EDUCATION SEC-PR-2024-74 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-50

File ID:  SEC-PR-2024-50 Date:  April 25, 2024 Accessed:  July 4, 2024 Headline:  SEC Small Business Advisory Committee to Discuss Regulation Crowdfunding and the State of Angel Investing. Source:  https://www.sec.gov/newsroom/press-releases/2024-50 Categories: AGENCY ADVISORIES SEC ADVISORY REGULATION CROWDFUNDING (REG CF) SEC-PR-2024-50 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-43

File ID:  SEC-PR-2024-43 Date:  April 2, 2024 Accessed:  July 4, 2024 Headline:  Securities and Exchange Commission Encourages Investors to Plan for Their Financial Future During Financial Capability Month Source:  https://www.sec.gov/newsroom/press-releases/2024-43 Categories: AGENCY ADVISORIES SEC ADVISORIES SEC-PR-2024-43 – Viewer: ▼▼▼ (Download PDF File )