Posts Tagged "Securities & Exchange Commission"

Information for Stock Buyers ~ FINRA Investors Bulletin

Posted by on Dec 1, 2013 in Estate Planning, Securities Litigation | 0 comments

FINRA has recently issued an investors bulletin containing information for stock buyers.  In the bulletin, FINRA suggests that stock investors should be using all of the information resources available to research the stocks they are looking at. Information for Stock Buyers FINRA recommends that stock buyers review, at a minimum, the following sources of information that is readily available. Research the company ~ For current information about a company check out the SEC’s EDGAR database. Find out where the stock trades ~ By looking at the exchange requirements an investor can get an...

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Initial Public Offering Investments (IPO)

Posted by on Jun 8, 2013 in Securities Arbitration | 0 comments

Investing in an initial public offering can be both exciting and risky.  The Securities and Exchange Commission recently posted an investor bulletin about the risks of investing in an initial public offering or IPO.  The bulletin provides lots of information regarding risks associated with investing in an IPO.  It also provides detailed information about how to use the SEC site to learn about companies that are going public. For your convenience a copy of the bulletin can be found at the bottom of this post. If you feel that you have been misled by advisers in connection with an IPO...

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Custody of Your Investment Assets ~ SEC Investment Bulletin

Posted by on Mar 4, 2013 in Securities Arbitration | 0 comments

The SEC has today issued an investor bulletin regarding the custody of your investment assets.  The bulletin provides information regarding the safeguards that have been put in place to protect investors and their assets.  The SEC has placed investment advisers on notice that they will be increasing enforcement action to ensure that investors’ accounts are protected from theft and misappropriation. Although one would think that the custody of your investment assets would be a simple issue it is really more complicated that it would seem.  Many brokerage firms have been accused of...

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SEC Investor Bulletin: How to Read an 8-K

Posted by on May 27, 2012 in Securities Arbitration | 0 comments

The SEC has issued and investor bulletin about how to read an 8-k report.  An 8-k is often used by public corporations to disclose material information about current issues.  The bulletin itself provides a general list of items that need to be disclosed to the investing public when they occur.  As an investor it is important to understand how this information is put out to the public by corporations in which an investor may be either invested or considering an investment.  By understanding how this information is published and where to look for information, investing becomes more than...

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SEC Investor Bulletin: Trading Suspension

Posted by on May 20, 2012 in News, Securities Arbitration | 0 comments

The SEC issued a new Investor Bulletin which provides a detailed explanation of the procedures employed in suspending the trading of a stock.  It is important for an informed investor to understand the rules which apply to the trading of stocks especially when participating in transactions which might involve what would be described as marginal companies.  An informed investor would certainly want to understand the risks associated with such companies and the possibility that the trade of those companies might be suspended.  If your stock broker of investment adviser has recommended such a...

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