Tuesday, June 29. 2021

SEC Launches Public Service Campaign Encouraging Consistent Investing

The SEC’s Office of Investor Education and Advocacy (OIEA) introduced a new public service campaign on June 23, 2021 as an outreach effort featuring two short videos that aim to educate investors, notably the underserved, on the benefits of investing. With the objective of ensuring investors have access to accurate, useful information, the SEC is also promoting the free financial planning tools and information available on the SEC’s online investor resource, investor.gov. The SEC intends to reach the greatest number and variety of people as possible through these web resources. Continue reading "SEC Launches Public Service Campaign..." »
Posted by
Margaret Gardner
in Investor Education, SEC at 09:29

Monday, June 28. 2021

SEC Regional Office, Other Agencies Collaborate to Hold Virtual Investment and Consumer Fraud Webinar

The SEC’s Atlanta Regional Office (ARO), Operation HOPE, the Federal Trade Commission, and the Georgia Secretary of State Securities and Charities Division have partnered to host a virtual outreach event focusing on recognizing and avoiding investment and consumer fraud. The event will take place on June 29, 2021, at 11:00 a.m. ET. {expires: 2021-06-30} Continue reading "SEC Regional Office, Other Agencies Collaborate..." »
Posted by
The Novaworks Team
in Events, Investor Education, SEC at 14:45

Monday, June 21. 2021

SEC, NASAA, and FINRA Announce Free Training Resources to Assist Firms with Protecting Seniors from Financial Exploitation

On June 15, 2021, in recognition of World Elder Abuse Awareness Day, the SEC announced its collaboration with regulatory counterparts, the North American Securities Administrators Association (NASAA) and the Financial Industry Regulatory Authority (FINRA), to develop a free, online training program focused on protecting senior investors. The resource, entitled “Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors”, fulfills implementation requirements pursuant to the Senior Safe Act of 2018.
Continue reading "SEC, NASAA, and FINRA Announce Free Training..." »
Posted by
The Novaworks Team
in Investor Education, SEC at 14:59

Monday, June 14. 2021

SEC Revises List of Entities Soliciting Investors with Inaccurate Information

On June 9, 2021, the SEC announced that it has revised its list of unregistered entities that use inaccurate data to solicit mainly non-US investors, adding 55 soliciting entities, five bogus regulators, and four impersonators of real firms. Continue reading "SEC Revises List of Entities Soliciting..." »
Posted by
The Novaworks Team
in Investor Education, SEC at 09:42
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