Tagged: office of investor education and advocacy

North American Securities Administrators Association Posts Investor Alert Warning on Self Directed IRAs and Crypto, Risk of Fraud

February 7, 2023 @ 3:40 pm By JD Alois |

The North American Securities Administrators Association (NASAA), along with the SEC Office of Investor Education and Advocacy, and the Financial Industry Regulatory Authority (FINRA), have published an Investor Alert cautioning individuals on Self Directed Individual Retirement Account (IRAs) that enable investors to select assets that may be… Read More

SEC Issues Investor Alert: Cautions on Issuers that Claim SEC has “Approved Offerings” such as ICOs

May 1, 2019 @ 6:32 pm By JD Alois |

We have seen this one a lot. Issuers file a Form D with the Securities and Exchange Commission (SEC) and once it pops up on Edgar (the SEC’s document database) the entity or individual claims it has been “approved” by the SEC. That’s a bunch… Read More