SEC Resources
The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The following information is available on the SEC website.
- Investor Information.
The SEC's Office of Investor Education and Assistance provides a variety of services to address the problems and questions you may face as an investor. We cannot tell you what investments to make, but we can tell you how to invest wisely and avoid fraud.
- For Seniors
. Whether you are nearing or already enjoying retirement, it pays to stay on top of your finances. Nearly one-third of all U.S. investors are between 50 and 64 years of age, and approximately 5 million senior citizens succumb to financial abuse each year.
- Check Out Brokers and Advisors.
Federal or state securities laws require brokers, investment advisers, and their firms to be licensed or registered, and to make important information public. But it's up to you to find that information and use it to protect your investment dollars. The good news is that this information is easy to get, and one phone call or web search may save you from sending your money to a con artist, a bad financial professional, or disreputable firm.
- Hedge Funds.
Like mutual funds, hedge funds pool investors' money and invest those funds in financial instruments in an effort to make a positive return. Many hedge funds seek to profit in all kinds of markets by pursuing leveraging and other speculative investment practices that may increase the risk of investment loss.
- Financial Planners
. A financial planner typically prepares financial plans for his or her clients. The kinds of services financial planners offer can vary widely. Some planners assess every aspect of your financial life including saving, investments, insurance, taxes, retirement, and estate planning and help you develop a detailed strategy or financial plan for meeting all your financial goals. Other professionals call themselves financial planners, but they may only be able to recommend that you invest in a narrow range of products and sometimes products that aren't securities.
- Investment Advisors. The SEC receives many questions about investment advisers what they are and how to go about choosing one. This document answers some of the typical questions we receive from investors about investment advisers. This Q&A is for the benefit of investors. You should not rely upon it to determine if you need to register as an investment adviser.
- Accredited Investors.
Under the Securities Act of 1933, a company that offers or sells its securities must register the securities with the SEC or find an exemption from the registration requirements. The Act provides companies with a number of exemptions.
For more resources and links, visit the SEC web site.
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