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SEC Saving and Investing

of saving and investing by following this advice: always pay yourself or your family first. Many people find it easier to pay themselves first if they allow their bank to automatically re-move money from their paycheck and deposit it into a savings or investment account. Likely even better, for tax purposes, is to participate in an

Actived: 2 days ago

URL: https://www.sec.gov/investor/pubs/sec-guide-to-savings-and-investing.pdf

SEC.gov Beginners Guide to Investing

(5 days ago) Beginners' Guide to Investing: Online Publications at the SEC Office of Investor Education and Advocacy Investors-Educate Yourself. Get the Facts: The SEC's Roadmap to Saving and Investing. This is your roadmap to starting on a journey of financial security through saving and investing.

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SEC.gov OASB Glossary terms: Investing in Small Business

(4 days ago) While “equity” can refer to multiple concepts in the world of investing, in the context of capital raising, “equity” typically refers to an ownership interest in a company. For example, common stock is a form of equity interest in a corporation and membership interest is a form of equity interest in a limited liability company.

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SEC.gov Investor Bulletin: Investing Throughout and

(8 days ago) Investor Bulletin: Investing Throughout and Beyond Your Military Service. Jan. 15, 2021. Whether you separate after only a few years or retire with 20 plus, know the steps you can take to continue to build wealth throughout and after your military career. Learn more at Investor.gov/military and DoD’s Financial Readiness website.

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SEC.gov International Investing

(2 days ago) Investing through U.S.-registered mutual funds may reduce some of the potential risks of investing internationally because mutual funds may provide more diversification than most investors could achieve on their own and they are subject to …

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SEC.gov Tips for Teachers: Investing for Retirement

(7 days ago) Saving and Investing: a Roadmap to Your Financial Security through Saving and Investing (also available in Spanish) Call OIEA at 1-800-732-0330, ask a question using this online form, or email us at [email protected]gov. Visit Investor.gov, the SEC’s website for individual investors. Receive Investor Alerts and Bulletins from OIEA by email or RSS feed.

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Saving and Investing for Students

(8 days ago) saving and investing by following this advice: always pay your - self first. Many people find it easier to pay themselves first if they allow their bank to automatically remove money from their paycheck and deposit it into a savings or investment account.

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SEC.gov Fractional Share Investing – Buying a Slice

(4 days ago) Fractional shares are a way to invest when you do not have enough money to purchase a full share of a particular stock. For example, if XYZ stock trades at $1000 per share, but you only have $100 to invest, fractional share investing would allow you to purchase a fraction of the XYZ stock ($1000/$100), or .1 shares.

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SEC.gov Digital Asset and “Crypto” Investment Scams

(1 days ago) The SEC’s complaint notes that the platform’s website represented: “Investing on BitConnect platform, as you will find, is a safe way to earn a high rate of return on your investment without having to undergo a significant amount of risk.” The platform allegedly paid investor withdrawals out of incoming investor funds and did not trade

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SEC.gov Investor Bulletin: Be Cautious of SAFEs in

(3 days ago) For example, investing in a crowdfunding opportunity may come with increased speculative risk in connection with whether the venture succeeds at all as well as the increased illiquidity associated with investing in a company not listed on a stock exchange.

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Updated Investor Alert: Social Media and Investing

(5 days ago) Updated Investor Alert: Social Media and Investing -- Stock Rumors. Nov. 5, 2015. The U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (“OIEA”) is issuing this Investor Alert to warn investors about fraudsters who may attempt to manipulate share prices by using social media to spread false or

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SEC.gov Fund of Funds

(9 days ago) The Commission’s Division of Investment Management is happy to assist small entities with questions regarding the Fund of Funds Rule. You may submit a question by email to [email protected]gov. Additionally, you may contact the Division of Investment Management’s Office of Chief Counsel at (202) 551-6825.

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SEC.gov Funds Trading in Bitcoin Futures – Investor Bulletin

(Just Now) A fund is required to disclose the principal risks of investing in the fund in its prospectus. For more information read, How to Read a Mutual Fund Prospectus (Part 1 of 3: Investment Objective, Strategies, and Risks). Potential loss of the investment. All investments in funds involve risk of financial loss.

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SEC.gov Thinking About Investing in the Latest Hot Stock

(3 days ago) Investing in Bubbles or Manias. Financial “manias” or a “bubble” is the rapid rise in the price of an investment, reflecting a high degree of collective enthusiasm or exuberance regarding the investment’s prospects. This rapid rise is usually followed by a contraction in the investment’s price. The contraction, or “panic” occurs

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SEC.gov Investor Bulletin: Social Sentiment Investing

(6 days ago) The SEC’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to inform investors about social sentiment investing tools and highlight their risks. This Bulletin provides tips to consider before using tools that analyze or aggregate information from social media sources to make …

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SEC.gov Investor Bulletin: Publicly Traded REITs

(4 days ago) Investing in actual real estate properties can be an expensive investment option. By investing in REITs, many investors find that a REIT investment allows them to diversify their investments to include real estate without having to incur the time and money commitment necessary when investing in actual real estate. Regular dividend payments.

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SEC.gov New SEC Public Service Campaign: Investing

(7 days ago) The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled a public service campaign (PSC) to educate investors on the benefits of investing and encourage them to use the free financial planning tools and information on the SEC’s online resource − Investor.gov.More than 30 million users have accessed …

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SEC.gov Investor Bulletin: Retirement Investing Through

(7 days ago) The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with educational information about the basics of retirement investing through 403 (b) and 457 (b) plans. 403 (b) and 457 (b) Plans. 403 (b) and 457 (b) plans are tax-deferred retirement savings programs provided by certain employers.

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SEC.gov Risky Business: "Pre-IPO" Investing

(Just Now) "Pre-IPO" investing involves buying a stake in a company before the company makes its initial public offering of securities. Many companies and stock promoters entice investors by promising an opportunity to make high returns by investing in a start-up enterprise at the ground floor level — often a new company that claims to be related to the Internet or e …

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SEC.gov Staff Statement on Funds Registered Under the

(Just Now) The Division of Investment Management (“IM”) staff strongly encourages any investor interested in investing in a mutual fund with exposure to the Bitcoin futures market, as discussed below, to carefully consider the risk disclosure of the fund, the investor’s own risk tolerance, and the possibility, as with all investing, of investor loss.

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SEC.gov Environmental, Social and Governance (ESG) Funds

(8 days ago) ESG investing is not limited to ETFs and mutual funds. Other types of investment products, like exchange-traded products that are not registered under the Investment Company Act of 1940, might also consider ESG factors in selecting an investment portfolio. Be sure you understand what you are investing in.

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Updated Investor Alert: Social Media and Investing

(5 days ago) The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors be better aware of fraudulent investment schemes that may involve social media. U.S. retail investors are increasingly turning to social media, including Facebook, YouTube, Twitter, LinkedIn and other online networks for information about investing.

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The Division of Examinations’ Review of ESG Investing

(4 days ago) investing practices by, for example, answering comprehensive questionnaires. Some of these reports are publicly available. The staff also noted that some firms engaged in impact investing may prepare annual sustainability and impact reports that are subject to review procedures conducted by an audit firm and which may be based on a

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ENVIRONMENTAL, SOCIAL, AND GOVERNANCE (ESG) …

(2 days ago) Environmental, social, and governance (ESG) investing is an investment strategy that incorporates non-financial criteria as well as the investments’ expected financial returns into investment decisions. These non-financial criteria typically include a company’s impact on the environment and its impact on pressing

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Ask Questions: Questions You Should Ask About Your

(2 days ago) ginner or have been investing for many years, it’s never too early or too late to start asking questions. It’s almost impossible to ask a dumb question about how you are invest-ing your money. Don’t feel intimi-dated. Remember, it’s . your. money at stake. You are paying for the as-sistance of a financial professional.

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SEC.gov SEC Response to Climate and ESG Risks and

(2 days ago) The Division of Examinations’ Review of ESG Investing. The Division of Examinations is issuing this Risk Alert to highlight observations from recent exams of investment advisers, registered investment companies, and private funds offering environmental, social, and governance (ESG) products and services.

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Investor Bulletin: International Investing

(Just Now) International Investing. Individual investors in the United States have access to a wide selection of investment opportunities, including . international investments. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about international investing. This

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SEC.gov Can the SEC Make ESG Rules that are Sustainable

(9 days ago) The Commission also noted that disclosure to serve the needs of limited segments of the investing public, even if otherwise desirable, may be inappropriate, because the cost to registrants, which must ultimately be borne by their shareholders, would likely outweigh the resulting benefits to most investors.”

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The Heartland Group Ventures, LLC, et al. (Release No. LR

(9 days ago) The Securities and Exchange Commission today announced fraud charges against The Heartland Group Ventures, LLC, Heartland Production and Recovery LLC, six other Heartland-affiliated entities, four Heartland-affiliated individuals, James Ikey, John Muratore, Thomas Brad Pearsey, Rustin Brunson, and oil and gas operators, Manjit Singh (aka Roger) Sahota, ArcoOil …

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SEC.gov SEC Announces Enforcement Task Force Focused on

(6 days ago) “Climate risks and sustainability are critical issues for the investing public and our capital markets,” said Acting Chair Allison Herren Lee. “The task force announced today will play an important role in enhancing and coordinating the efforts of the Division of Enforcement, the Office of the Whistleblower, and other parts of the agency

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The Division of Examinations’ Review of ESG Investing

(3 days ago) The Division of Examinations’ Review of ESG Investing. April 9, 2021. The Division of Examinations is issuing this Risk Alert to highlight observations from recent exams of investment advisers, registered investment companies, and private funds offering environmental, social, and governance (ESG) products and services.

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SEC.gov Leveraged Investing Strategies – Know the Risks

(6 days ago) Leveraged investment strategies attempt to magnify an investment’s return through: 1. borrowing money (margin), 2. using options, or 3. investing in securities that use leverage such as leveraged ETFs. Three common leveraged investment strategies include margin trading, options trading, and leveraged ETF trading.

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SEC.gov The Evolving Market for Retail Investment

(7 days ago) An investor looking for a more active approach to investing, or who wants to outsource discretionary management of the account to the investment professional, may find it worthwhile to pay the investment adviser’s AUM-based …

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Get the Facts: The SEC's Roadmap to Saving and Investing

(1 days ago) Welcome to the SEC's Roadmap to saving and investing, which is brought to you by the Office of Investor Education and Advocacy of the U.S. Securities and Exchange Commission.. Knowing how to secure your financial well-being is one of the most important things you’ll ever need in life.

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INVESTOR BULLETIN

(8 days ago) investing for many years, there is some basic information you should know about investing. Below is a list of thirteen pieces of investing-related information that may help you make informed financial decisions and avoid common scams. Checking the background of an investment

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Buttonwood Financial Group, LLC and Jon Michael McGraw

(9 days ago) The Securities and Exchange Commission announced charges against Buttonwood Financial Group, LLC ("Buttonwood"), a Kansas City, Missouri-based registered investment adviser, and Jon Michael McGraw, its president, chief compliance officer, and majority owner, in connection with investing client assets in generally more expensive mutual funds so …

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SEC.gov Investor Bulletin on Life Settlements

(4 days ago) Before investing in a life settlement, investors may wish to keep the following points in mind. The return on a life settlement depends on the insured’s life expectancy and the date of the insured’s death. As a result, the accuracy of a life expectancy estimate is essential.

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SEC.gov SEC Proposes Amendments Regarding Rule 10b5-1

(7 days ago) The Securities and Exchange Commission today proposed amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 to enhance disclosure requirements and investor protections against insider trading.

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SEC.gov Investor Protection in the Age of Gamification

(7 days ago) See Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology To Develop and Provide Investment Advice, Securities Exchange Act …

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SEC.gov Observations from Examinations of Advisers that

(8 days ago) Observations from Examinations of Advisers that Provide Electronic Investment Advice. Nov. 9, 2021. The Division of Examinations (“Division”) has recently observed a significant increase in the number of investment advisers choosing to provide automated digital investment advisory services to their clients. The purpose of this Risk Alert is

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Fidelity Investments Code of Ethics

(7 days ago) Investing in a hedge fund or other unregistered investment product or vehicle . You and your covered persons may not invest in a hedge fund, alternative investment, or similar investment product or vehicle that is not registered under the Investment Company Act of 1940. Exceptions •

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SEC Speech: Investing Social Security in the Stock Market

(2 days ago) Investing Social Security in the stock market – by its very nature – involves heightened obligations, difficult questions and new challenges. Increased risk, through greater choice, holds the potential for greater returns. But uninformed investors often won't be in a position to capture that potential. They risk making poor investment

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Fidelity Investments Code of Ethics

(7 days ago) The Code of Ethics for Personal Investing constitutes the Code of Ethics required by Rule 17j-1 under the Investment Company Act of 1940, and has been adopted as such by the Fidelity funds, the FMR Corp. subsidiaries that are their investment advisors or principal underwriters, and companies affiliated with any of these entities.

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FIDUCIARY GUIDE TO INVESTING WITH DIVERSE ASSET …

(6 days ago) 7 Steps to Investing with Diverse Asset Managers and Firms 11 Step 1: Understanding the Current State of Your Institution 12 Step 2: Building Support from Trustee, Board, and Staff Leadership 14 Step 3: Creating a Clear Mission and Commitment to Investing with Diverse Managers 17 Step 4: Sourcing Qualified Diverse Managers and Firms 22

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SEC.gov Beginners Guide to Mutual Funds

(5 days ago) The prospectus is the fund's primary selling document and contains valuable information, such as the fund's investment objectives or goals, principal strategies for achieving those goals, principal risks of investing in the fund, fees and expenses, and past performance.

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