SEC Investor Publications

The United States Securities and Exchange Commission publishes a number of guides and alerts designed to advise and sometimes warn, investors. The following is a list of those publications, with links to the SEC site.



Dec. 19, 2016	Invest Wisely: An Introduction to Mutual Funds	Investor Publications
Dec. 7, 2016	International Investing	Investor Publications
Dec. 7, 2015	How the SEC Handles Your Complaint(PDF) Investor Education and Advocacy	Investor Publications
Feb. 27, 2014	Q&A: Small Business and the SEC	Investor Publications
Feb. 19, 2014	Identity Theft: Learn How To Protect Yourself	Investor Publications
Feb. 19, 2014	Understanding Investment Professional Designations (tips from FINRA)	Investor Publications
Jan. 12, 2014	Beginners’ Guide to Financial Statements Investor Education and Advocacy	Investor Publications
Oct. 9, 2013	Affinity Fraud: How to Avoid Investment Scams That Target Group	Investor Publications
Sept. 18, 2013	Microcap Stock: A Guide for Investors	Investor Publications
Sept. 5, 2013	“Phishing” Fraud: How to Avoid Getting Fried by Phony Phishermen	Investor Publications
April 19, 2013	A Guide for Seniors: Protect Yourself Against Investment Fraud(PDF)	Investor Publications
Jan. 16, 2013	Investment Clubs and the SEC	Investor Publications
Jan. 16, 2013	Rule 144: Selling Restricted and Control Securities	Investor Publications
Jan. 16, 2013	Trade Execution: What Every Investor Should Know	Investor Publications
Dec. 4, 2012	Researching the Federal Securities Laws Through the SEC Website	Investor Publications
Sept. 24, 2012	Guide to Insider Trading: Online Publications at the SE	Investor Publications
Aug. 7, 2012	Investment Advisers: What You Need to Know Before Choosing One	Investor Publications
Jan. 24, 2012	Protect Your Money: Check Out Brokers and Investment Advisers	Investor Publications
Jan. 19, 2012	Researchers and Librarians—Easy Access to Selected Securities and Investor Information at the SEC	Investor Publications
Oct. 6, 2011	“Mutual-to-Stock” Conversions: Tips for Investor	Investor Publications
April 18, 2011	Variable Annuities: What You Should Know	Investor Publications
March 4, 2011	SEC Complaint Center	Investor Publications
Feb. 16, 2011	About the SEC’s Office of Investor Education and Advocacy	Investor Publications
Feb. 1, 2011	Internet Fraud: How to Avoid Internet Investment Scams	Investor Publications
Aug. 30, 2010	Analyzing Analyst Recommendations Trading and Markets	Investor Publications
Aug. 10, 2010	The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds	Investor Publications
Dec. 14, 2009	Five Questions to Ask Before You Invest	Investor Publications
Dec. 2, 2009	Beginners’ Guide to Investing	Investor Publications
Dec. 2, 2009	Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit	Investor Publications
Dec. 2, 2009	SIPC Exposes Phony “Look-Alike” Web Site Enforcement	Investor Publications
Dec. 2, 2009	Taking Stock: Getting Your Fiscal Act Together	Investor Publications
Nov. 18, 2009	Cold Calling: Unsolicited Calls from Brokers	Investor Publications
Nov. 12, 2009	Guide to Identifying and Avoiding Securities Fraud	Investor Publications
Oct. 6, 2009	Compliance Guide to the Registration and Regulation of Brokers and Dealers	Investor Publications
Aug. 28, 2009	Beginners’ Guide to Asset Allocation, Diversification, and Rebalancing	Investor Publications
June 9, 2009	All About Auto-Trading	Investor Publications
June 9, 2009	How To Avoid Fraud	Investor Publications
June 1, 2009	Warning to All Investors About Bogus “Prime Bank” and Other Banking-Related Investment Schemes	Investor Publications
May 6, 2009	Ultra-Short Bond Funds: Know Where You’re Parking Your Money	Investor Publications
April 21, 2009	Beginners’ Guide to Mutual Funds	Investor Publications
April 17, 2009	Margin: Borrowing Money to Pay for Stocks	Investor Publications
April 17, 2009	Broken Promises: Promissory Note Fraud	Investor Publications
April 16, 2009	Transferring your Brokerage Account: Tips on Avoiding Delays	Investor Publications
March 17, 2009	Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices	Investor Publications
Feb. 27, 2009	“Senior” Specialists and Advisors: What You Should Know About Professional Designations	Investor Publications
Feb. 27, 2009	Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information	Investor Publications
Feb. 4, 2009	The Fleecing of Foreign Investors: Avoid Getting Burned by “Hot” U.S. Stocks	Investor Publications
Feb. 3, 2009	Bankruptcy: What Happens When Public Companies Go Bankrupt	Investor Publications
Dec. 3, 2008	High-Yield CDs: Protect Your Money by Checking the Fine Print	Investor Publications
Nov. 4, 2008	After-Hours Trading: Understanding the Risks	Investor Publications
July 14, 2008	Promissory Notes: Promises, Problems(PDF)	Investor Publications
July 1, 2008	Getting Info About Companies	Investor Publications
June 9, 2008	Evaluating Your Retirement Options: The 403(b) Plan	Investor Publications
March 24, 2008	Investment Choices and Methods	Investor Publications
Jan. 31, 2008	Mini-Tender Offers: Tips for Investors	Investor Publications
Aug. 15, 2007	Avoiding Internet Investment Scams: Tips for Investors	Investor Publications
Aug. 1, 2007	“Pro Forma” Financial Information: Tips for Investors	Investor Publications
Aug. 1, 2007	Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yoursel	Investor Publications
Aug. 1, 2007	Periodic Payment Plans	Investor Publications
Aug. 1, 2007	Privacy Choices for Your Personal Financial Information	Investor Publications
Aug. 1, 2007	Ask Questions: Questions You Should Ask About Your Investments and What To Do If You Run Into Problems	Investor Publications
Aug. 1, 2007	Get the Facts on Saving and Investing	Investor Publications
Aug. 1, 2007	Invest Wisely: Advice From Your Securities Industry Regulators	Investor Publications
Aug. 1, 2007	Pregunte (folleto en Espanol) (“Ask Questions” brochure in Spanish)	Investor Publications
Aug. 1, 2007	Tips for Online Investing: What You Need to Know About Trading In Fast-Moving Markets	Investor Publications
July 31, 2007	Form for Taking Notes	Investor Publications
May 8, 2007	Mutual Fund Investing: Look at More Than a Fund’s Past Performance	Investor Publications
Feb. 5, 2007	Beginners’ Guide to Financial Statement	Investor Publications
April 3, 2006	Lump Sum Payouts: Questions You Should Ask Yourself Before You Invest a Dime	Investor Publications
Feb. 27, 2006	Auto-Surfing: What You Need to Kno	Investor Publications
Jan. 27, 2006	“Wrong Numbers” and Stock Tips on Your Answering Machine	Investor Publications
Oct. 17, 2005	Worthless Stock: How to Avoid Doubling Your Losses	Investor Publications
June 1, 2005	Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries	Investor Publications
April 20, 2005	Day Trading: Your Dollars at Risk	Investor Publications
April 11, 2005	“High Yields” and Hot Air	Investor Publications
Jan. 18, 2005	Mutual Fund Proxy Voting Records and Policies	Investor Publications
Jan. 11, 2005	Pump&Dump.con: Tips for Avoiding Stock Scams on the Internet	Investor Publications
Jan. 11, 2005	Risky Business: “Pre-IPO [Initial Public Offering]” Investing	Investor Publications
June 9, 2004	Variable Annuities and Variable Life Products: Questions to Ask	Investor Publications
May 21, 2004	About Settling Trades In Three Days: Introducing T+3	Investor Publications
March 4, 2003	Holding Your Securities— – Get the Facts	Investor Publications
June 24, 2002	All About Auditors	Investor Publications
March 1, 2001	Stock Market Fraud “Survivor” Checklist	Investor Publications
March 30, 1999	A Plain English Handbook: How to Create Clear SEC Disclosure Documents	Investor Publications

SEC Investor Publications

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