Online Publications for Investors
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• About Settling Trades in Three Days: Introducing T+3
• About the SEC's Office of Investor Education and Assistance
• Accounts-Opening A Brokerage Account
• Accredited Investors
• Affinity Fraud: How To Avoid Investment Scams That Target Groups
• After-Hours Trading: Understanding the Risks
• All About Auditors
• Analyzing Analyst Recommendations
• Arbitration
• Arbitration, How To Find a Lawyer Specializing in Securities
• Arbitration/Mediation Clinics in California, New York, and Pennsylvania
• Arbitration Procedures
• Ask Questions (also in Print)
• Banking Regulators
• Bankruptcy: What Happens When Public Companies Go Bankrupt (also in Print)
• Bond Funds
• Breakpoints
• Broken Promises: Promissory Note Fraud
• Broker — Dealer Registration: Where to File
• Callable and Redeemable Bonds
• Certificates of Deposit: Tips for Investors (also in Print)
• Circuit Breakers and Other Market Volatility Procedures
• Closed-End Funds
• Closing Price
• Cold Calling: Unsolicited Calls from Brokers (also in Print)
• Commodity Futures Trading Commission
• Compliance Guide to the Registration and Regulation of Brokers and Dealers (also in Print)
• Complaints and Inquiries (also in Print)
• Convertible Securities
• Corporate Reports, How to Get
• Day Trading
• Day Trading Margin Requirements: Know the Rules (tips from NASD)
• Day Trading: Your Dollars at Risk
• Defunct Company, Stock Continues to Trade
• Direct Investment Plans: Buying Stock Directly from the Company
• Exchange Traded Funds (ETFs)
• Exchanging Life Insurance Policies: Investor Alert from NASD
• Ex-Dividend Dates: When Are You Entitled to Stock and Cash Dividends
• Facts on Saving and Investing: 1999 Report on Financial Literacy (also in Print)
• Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit
• The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks
• Financial Facts Tool Kit
• Financial Planners
• Form for Taking Notes (also in Print)
• Forms 3, 4 5
• Get Info About Companies
• Get the Facts on Saving and Investing
• Going Private
• Hedge Funds: Investor Alert from NASD
• Hedging Your Bets: A Heads Up on Hedge Funds and Funds of Hedge Funds
• "High Yields" and Hot Air
• Holding Your Securities — Get the Facts   UPDATED!
• How Do I Use EDGAR?
• Index Funds
• Information About Some Companies Not Available From the SEC
• Information Available to Investment Company Shareholders
• Information Matters
• Initial Public Offerings: Why Individuals Have Difficulty Getting Shares
• Insider Trading
• Insider Trading: Information on Bounties
• International Investing: Get the Facts (online version in PDF only; also in Print)
• Internet Fraud: How to Avoid Internet Investment Scams (also in Print)
• Interval Funds
• Invest Wisely
• Invest Wisely: An Introduction to Mutual Funds  UPDATED! (also in Print)
• Investment Advisers — What You Need to Know Before Choosing One
• Investment Clubs and the SEC (also in Print)
• Investment Companies
• Investment Options
• The Investor's Advocate: How the SEC Protects Investors and Maintains Market Integrity
• Late Payment of Interest on Bonds
• Margin Trading
• Market Indices
• Microcap Stock: A Guide for Investors (also in Print)
• Mini-Tender Offers: Tips for Investors
• Mutual Fund Classes
• Mutual Fund Fees and Expenses
• Mutual Fund Investing: Look at More Than a Mutual Fund's Past Performance
• Mutual Fund Prospectus, Tips for Reading One
• Options Trading
• Order Execution Data
• A Plain English Handbook (also in Print)
• Pregunte (folleto en Español) (in PDF; "Ask Questions" brochure in Spanish)
• Privacy Choices for Your Personal Financial Information
• Pro Forma Financial Info
• Promissory Notes: Promises, Problems (in PDF)
• Q&A: Small Business and the SEC (also in Print)
• Registration Under the Securities Act of 1933
• Restricted Securities: Removing the Restrictive Legend
• Risky Business: "Pre-IPO" Investing
• Rule 504 of Regulation D
• Rule 505 of Regulation D
• Rule 506 of Regulation D
• Rule 144: Selling Restricted and Control Securities
• SEC Complaint Center
• The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds
• Securities Investor Protection Corporation (SIPC)
• Short Sales Restrictions
• Stock and Bond Certificates, Old
• Stock Certificates, Lost, Stolen
• Stock Certificates, Proving Ownership
• Stock Market Fraud "Survivor" Checklist
• Taking Stock: Getting Your Fiscal Act Together
• Tips for Online Investing
• Trade Execution: Rules Your Brokerage Firm Must Follow
• Trade Execution: What Every Investor Should Know
• Trading Halts and Delays
• Trading Suspensions! When the SEC Suspends Trading a Stock
• Transfer Agents
• Transferring Your Brokerage Account: Tips on Avoiding Delays
• Unit Investment Trusts (UITs)
• Variable Annuities (also in Print and PDF)