10/31/2014 - U.S. Securities and Exchange Commission

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The U.S. Securities and Exchange Commission's (SEC) mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.  As part of its mission, the SEC oversees the key participants in the securities markets, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds.

The SEC Office of Investor Education and Advocacy advances the agency mission of investor protection by communicating daily with investors, responding to complaints and inquiries, and providing educational programs and materials.


  • Investor.gov website is the SEC online resource to help investors make informed investment decisions and avoid fraud.  Learning how to invest wisely and safely can assist investors in reaching their financial and retirement goals.  Understanding how scam artists work can help investors avoid fraud.
  • Resources for Teachers and Students on Investor.gov (investor.gov/outreach/teachers), including “In the Classroom” materials for teachers; and tools and games for students.
  • Investor Alerts and Investor Bulletins to help inform and educate investors on frauds and other information relevant to investing in stocks, bonds, mutual funds, and other securities.  Investor Alerts and Investor Bulletins are available on Investor.gov.
  • Investment Adviser Public Disclosure (IAPD) database to find information on investment adviser firms and professional background information on individuals acting as investment adviser representatives.  Access IAPD on SEC.gov or www.adviserinfo.sec.gov.
  • Investor Assistance for Questions or Complaints -- The SEC's Office of Investor Education and Advocacy assist investors in resolving complaints, answering questions, and making sure that investors’ problems and concerns are known and considered when action is taken.  You can call the SEC Office of Investor Education and Advocacy at (800)732-0330 or ask a question using this online form.


  • Recent Investor Alerts:
    • Be on the Lookout for Advance Fee Fraud
    • 10 Red Flags That an Unregistered Offering May Be a Scam
    • Social Media and Investing -- Stock Rumors
    • Affinity Fraud
    • Investment Newsletters Used as Tools for Fraud
  • Recent Investor Bulletins:
    • How to Check Out Your Financial Professional
    • Ten Things You Should Know About Investing
    • Behavioral Patterns of U.S. Investors
    • Mutual Fund Fees and Expenses
    • How to Open a Brokerage Account
  • Follow the Office of Investor Education and Advocacy on Twitter @SEC_Investor_Ed
  • Like us on Facebookwww.facebook.com/SECInvestorEducation

Office of Investor Education and Advocacy
U.S. Securities and Exchange Commission
100 F Street, N.E.
Washington, D.C. 20549
Toll free number: (800) 732-0330