Online Publications for Investors
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• About Settling Trades in Three Days: Introducing T+3
• About the SEC's Office of Investor Education and Advocacy
• Affinity Fraud: How To Avoid Investment Scams That Target Groups (also available in Creole)
• After-Hours Trading: Understanding the Risks
• All About Auditors
• All About Auto-trading
• Analyzing Analyst Recommendations
• Arbitration
• Arbitration Procedures
• Ask Questions (also in Print, PDF and Spanish)
• Auto-Surfing: What You Need to Know
• Avoiding Internet Investment Scams: Tips for Investors
• Bankruptcy: What Happens When Public Companies Go Bankrupt (also in Print)
• Beginner's Guide to Asset Allocation, Diversification, and Rebalancing
• Beginners' Guide to Financial Statements
• Beginners' Guide to Investing
• Beginners' Guide to Mutual Funds
• Broken Promises: Promissory Note Fraud
• Certificates of Deposit: Tips for Investors
• CFTC Warning About Foreign Currency Trading Frauds
• Cold Calling: Unsolicited Calls from Brokers (also in Print)
• Compliance Guide to the Registration and Regulation of Brokers and Dealers (also in Print)
• Complaints and Inquiries (also in Print)
• Day Trading Margin Requirements: Know the Rules (tips from FINRA)
• Day Trading: Your Dollars at Risk
• EDGAR: Researching Public Companies Through EDGAR: A Guide for Investors
• Evaluating Your Retirement Options: The 403(b) Plan
• Exchanging Life Insurance Policies: Investor Alert from FINRA
• Facts on Saving and Investing: 1999 Report on Financial Literacy (also in Print)
• Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit
• Federal Securities Laws: Researching through the SEC Website
• Financial Facts Tool Kit
• The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks
• Form for Taking Notes (also in Print)
• Fwod kont Gwoup ki Gen Afinite: Kouman pou Evite Pyèj pou Envestisè ki nan Gwoup yo Vize ("Affinity Fraud" in Creole; also in PDF; also in Spanish)
• Get Info About Companies
• Get the Facts on Saving and Investing (also in Print, PDF and Spanish)
• Guide for Seniors: Protect Yourself Against Investment Fraud (also in Spanish)
• Guide to Identifying and Avoiding Securities Fraud
• Guide to Insider Trading: Online Publications at the SEC
• Hedging Your Bets: A Heads Up on Hedge Funds and Funds of Hedge Funds
• "High Yields" and Hot Air
• Holding Your Securities — Get the Facts
• How Do I Use EDGAR?
• How To Avoid Fraud
• Identity Theft: Learn How To Protect Yourself
• International Investing: Get the Facts
• Internet Fraud: How to Avoid Internet Investment Scams (also in Print)
• Introduction to 529 Plans
• Invest Wisely
• Invest Wisely: An Introduction to Mutual Funds (also in Print, PDF and Spanish)
• Investing Smart from the Start: Five Questions to Ask Before You Invest
• Investment Advisers — What You Need to Know Before Choosing One
• Investment Clubs and the SEC (also in Print)
• Investment Options
• The Investor's Advocate: How the SEC Protects Investors and Maintains Market Integrity
• Lump Sum Payouts: Questions You Should Ask Yourself Before You Invest a Dime
• Making the Most of Mutual Fund Breakpoints
• Margin Trading
• Microcap Stock: A Guide for Investors
• Mini-Tender Offers: Tips for Investors
• Mutual Fund Investing: Look at More Than a Mutual Fund's Past Performance
• Mutual Fund Proxy Voting Records and Policies
• “Mutual-to-Stock” Conversions: Tips for Investors
• Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yourself
• Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information
• Order Execution Data
• Periodic Payment Plans
• "Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen
• A Plain English Handbook
• Pregunte (folleto en Español) ("Ask Questions" brochure in Spanish)
• Privacy Choices for Your Personal Financial Information
• Pro Forma Financial Info
• Promissory Notes: Promises, Problems (in PDF)
• Protect Your Money: Check Out Brokers and Investment Advisers
• Pump&Dump.con: Tips for Avoiding Stock Scams
• Q&A: Small Business and the SEC
• Researchers and Librarians – Easy Access to Selected Securities and Investor Information at the SEC
• Researching Public Companies Through EDGAR: A Guide for Investors
• Researching the Federal Securities Laws Through the SEC Website
• Risky Business: "Pre-IPO" Investing
• Rule 144: Selling Restricted and Control Securities
• Saving and Investing for Students: A Roadmap To Your Financial Security Through Saving and Investing
• Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries
• Seniors: Protect Yourself Against Investment Fraud (also in Print, PDF and Spanish)
• 'Senior' Specialists and Advisors: What You Should Know About Professional Designations
• Shareholder Voting (in PDF)
• SIPC Exposes Phony "Look-Alike" Web Site
• Stock Market Fraud "Survivor" Checklist
• Taking Stock: Getting Your Fiscal Act Together
• Tips for Online Investing
• Trade Execution: What Every Investor Should Know
• Transferring Your Brokerage Account: Tips on Avoiding Delays
• Ultra-Short Bond Funds: Know Where You’re Parking Your Money
• Understanding Investment Professional Designations (tips from FINRA)
• Variable Annuities (also in Print, PDF and Spanish)
• Variable Annuities and Variable Life Products: Questions to Ask
• Warning to All Investors About Bogus "Prime Bank" and Other Banking-Related Investment Schemes
• Worthless Stocks: How to Avoid Doubling Your Losses
• "Wrong Numbers" and Stock Tips on Your Answering Machine