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Rules & Regs

Information certainly is powerful and we take seriously our commitment to provide the public at large with resources that inform and guide our area of concentration. To that end, we include such important topics as bulletins on areas of the federal securities laws, commentary and case law relating to the SEC whistleblower program, other federal and state whistleblower programs, international whistleblower developments and critical employment protections.

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Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit
“Some fraudsters mix truth with fiction to make their lies more believable. Learn how to protect yourself against deceptive tactics with this publication.” This publication may be helpful to potential whistleblowers that are concerned about an employer’s representations or concerning statements to investors.
Rules & Regs
Guide to Identifying and Avoiding Securities Fraud
This is a handy, easy-to-use reference guide to materials available at the SEC to help investors recognize and avoid fraud.” This publication may be helpful to potential whistleblowers that are concerned their employer is committing securities fraud.
Rules & Regs
How to Avoid Fraud
“Prepare and protect yourself: this publication will help you to recognize the tell-tale signs of fraud and provides tips for avoiding investment scams.” This publication may be helpful to potential whistleblowers that are concerned their employer may be committing a fraud.
Rules & Regs
All About Auto-Trading
“Investment newsletters often market “auto-trading” programs as a way for investors to get instant execution of trades of securities the newsletter recommends. However, auto-trading programs can be highly risky. Our brochure provides some steps you will want to take to check out “auto-trading” before handing over your money.” This publication may be important to whistleblowers...
Rules & Regs
Investor Bulletin: Target Date Retirement Funds
“The SEC staff and FINRA are issuing this Alert because we believe individual investors may be confused about the performance objectives of leveraged and inverse exchange-traded funds (ETFs).”
Rules & Regs
Broken Promises: Promissory Note Fraud.
“While promissory notes can be legitimate investments, those that are marketed broadly to individual investors often turn out to be scams.” This publication may be helpful to potential whistleblowers that are dealing with investment firms that deal in bulk offers of promisory notes.
Rules & Regs
The Fleecing of Foreign Investors: Avoid Getting Burned by “Hot” U.S. Stocks
“An increasing number of “reload” and “advance fee” scams target non-U.S. investors who lost money buying low-priced, thinly traded over-the-counter stocks and who seek to recover their losses. This brochure describes how some of these scams work, provides tips on how to avoid them, and tells you where to find help.” This publication may be...
Rules & Regs
Guide to Broker-Dealer Registration
“This document provides a comprehensive guide to Broker-Dealer registration, including the laws, rules, and regulations.” This publication may be important to whistleblowers where they suspect their employer may be acting outside the law when dealing with the sale of securities.
Rules & Regs
Avoiding Internet Investment Scams: Tips for Investors.
“You should be skeptical of investment opportunities you learn about through the Internet. You can avoid online investment scams by getting the facts before you invest. This publication will answer some questions for you; let it assist you when you begin to do your research and investigation.” This publication may be helpful to potential whistleblowers...
Rules & Regs
“Auto-Surfing”: What You Need to Know
“This publication defines auto-surfing and explains the potential for fraud (“Ponzi” or pyramid scheme) that individuals face when signing on with auto-surfing firms. In addition, it offers some advice for investors to take into account before deciding to become an auto-surfer.”
Rules & Regs
Worthless Stock: How to Avoid Doubling Your Losses
“Con artists across the globe have stepped up their efforts to rip off investors, especially non-U.S. residents who have lost money in the U.S. securities markets. The SEC wants investors to be extremely skeptical of offers to exchange worthless or poorly performing stocks for blue chips or “hot” performers. Our alert tells you how to...
Rules & Regs
High Yields and Hot Air
“This brochure alerts you to what you should know before you receive those investment offers that purport to pay sky-high returns for what are at best extremely risky propositions and at worst are pure fraud.” This publication may be helpful to potential whistleblowers that are concerned about potential misstatements regarding high returns.
Rules & Regs
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