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Investor Testing Report on Registered Index-Linked Annuities (PDF)
Investor Publications
Sept. 1, 2020
Questions You Should Ask About Your Investments brochure (PDF)
Investor Publications
Feb. 27, 2014
Q&A: Small Business and the SEC
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Feb. 19, 2014
Identity Theft: Learn How To Protect Yourself
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Feb. 19, 2014
Understanding Investment Professional Designations (tips from FINRA)
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Jan. 12, 2014
Beginners' Guide to Financial Statements
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Oct. 9, 2013
Affinity Fraud: How to Avoid Investment Scams That Target Group
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Sept. 18, 2013
Microcap Stock: A Guide for Investors
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Sept. 5, 2013
"Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen
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April 19, 2013
A Guide for Seniors: Protect Yourself Against Investment Fraud (PDF)
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Jan. 16, 2013
Rule 144: Selling Restricted and Control Securities
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Jan. 16, 2013
Trade Execution: What Every Investor Should Know
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Dec. 4, 2012
Researching the Federal Securities Laws Through the SEC Website
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Sept. 24, 2012
Guide to Insider Trading: Online Publications at the SE
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Aug. 7, 2012
Investment Advisers: What You Need to Know Before Choosing One
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Jan. 19, 2012
Researchers and LibrariansEasy Access to Selected Securities and Investor Information at the SEC
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Oct. 6, 2011
Mutual-to-Stock Conversions: Tips for Investor
Investor Publications
Feb. 16, 2011
About the SECs 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
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Aug. 10, 2010
The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds
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Dec. 14, 2009
Five Questions to Ask Before You Invest
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Dec. 2, 2009
Beginners Guide to Investing
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Dec. 2, 2009
Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit
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Dec. 2, 2009
SIPC Exposes Phony "Look-Alike" Web Site
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Dec. 2, 2009
Taking Stock: Getting Your Fiscal Act Together
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Nov. 18, 2009
Cold Calling: Unsolicited Calls from Brokers
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Nov. 12, 2009
Guide to Identifying and Avoiding Securities Fraud
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Oct. 6, 2009
Compliance Guide to the Registration and Regulation of Brokers and Dealers
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Aug. 28, 2009
Beginners' Guide to Asset Allocation, Diversification, and Rebalancing
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June 9, 2009
All About Auto-Trading
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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
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April 21, 2009
Beginners Guide to Mutual Funds
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April 17, 2009
Margin: Borrowing Money to Pay for Stocks
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April 16, 2009
Transferring your Brokerage Account: Tips on Avoiding Delays
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March 17, 2009
Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices
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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
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Feb. 4, 2009
The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks
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Feb. 3, 2009
Bankruptcy: What Happens When Public Companies Go Bankrupt
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Dec. 3, 2008
High-Yield CDs: Protect Your Money by Checking the Fine Print
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Nov. 4, 2008
After-Hours Trading: Understanding the Risks
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July 14, 2008
Promissory Notes: Promises, Problems (PDF)
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July 1, 2008
Getting Info About Companies
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June 9, 2008
Evaluating Your Retirement Options: The 403(b) Plan
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March 24, 2008
Investment Choices and Methods
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Jan. 31, 2008
Mini-Tender Offers: Tips for Investors
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Aug. 15, 2007
Avoiding Internet Investment Scams: Tips for Investors
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Aug. 1, 2007
"Pro Forma" Financial Information: Tips for Investors
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Aug. 1, 2007
Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yoursel
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Aug. 1, 2007
Periodic Payment Plans
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Aug. 1, 2007
Privacy Choices for Your Personal Financial Information
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Aug. 1, 2007
Ask Questions: Questions You Should Ask About Your Investments and What To Do If You Run Into Problems
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Aug. 1, 2007
Get the Facts on Saving and Investing
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Aug. 1, 2007
Invest Wisely: Advice From Your Securities Industry Regulators
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Aug. 1, 2007
Pregunte (folleto en Espanol) ("Ask Questions" brochure in Spanish)
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Aug. 1, 2007
Tips for Online Investing: What You Need to Know About Trading In Fast-Moving Markets
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July 31, 2007
Form for Taking Notes
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May 8, 2007
Mutual Fund Investing: Look at More Than a Fund's Past Performance
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Feb. 5, 2007
Beginners' Guide to Financial Statement
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April 3, 2006
Lump Sum Payouts: Questions You Should Ask Yourself Before You Invest a Dime
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Feb. 27, 2006
Auto-Surfing: What You Need to Kno
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Jan. 27, 2006
"Wrong Numbers" and Stock Tips on Your Answering Machine
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Oct. 17, 2005
Worthless Stock: How to Avoid Doubling Your Losses
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June 1, 2005
Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries
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April 20, 2005
Day Trading: Your Dollars at Risk
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April 11, 2005
"High Yields" and Hot Air
Investor Publications
Jan. 18, 2005
Mutual Fund Proxy Voting Records and Policies
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Jan. 11, 2005
Pump&Dump.con: Tips for Avoiding Stock Scams on the Internet
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Jan. 11, 2005
Risky Business: "Pre-IPO [Initial Public Offering]" Investing
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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
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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
