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World Investor Week Brings Together Securities Regulators on Six Continents to Promote Investor Education and Protection

Joint Investor Bulletin Issued With CFTC, FINRA and NASAA on Tips for Smart Investing

FOR IMMEDIATE RELEASE

2017-187

Washington D.C., Oct. 2, 2017—

The Securities and Exchange Commission, along with the U.S. Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA), is leading efforts in the U.S. to raise awareness about the importance of investor education and protection as part of a global effort. World Investor Week, promoted by the International Organization of Securities Commissions (IOSCO), takes place October 2-8, 2017, marking the first time securities regulators on six continents are joining together to highlight what it means to be a smart investor as well as ways to avoid fraud.

During World Investor Week, SEC staff is participating in events around the country amplifying vital messages to investors, such as:

Going to Investor.gov before investing

Doing a background check on an investment professional

Conducting research on products before investing

Knowing the risks and fees associated with all investments

Recognizing the importance of diversification and the power of compound interest

Setting investment goals

Learning how to avoid fraud

In addition, the SEC’s Office of Investor Education and Advocacy today issued a joint investor bulletin with the CFTC, FINRA, and the North American Securities Administrators Association (NASAA) to promote these key messages.

“The best way to protect Main Street investors from becoming victims of fraud is to educate them. We want investors to ask smart questions. It’s good for them and it’s good for our markets,” said SEC Chairman Jay Clayton. “The SEC remains committed to helping all Americans reach their investment goals and protect their hard-earned money, and that’s why events like World Investor Week and the continued efforts of the Office of Investor Education and Advocacy are instrumental to the mission of this agency.”

“I see first-hand the positive impact of our investor education efforts, whether it’s our outreach team conducting in-person events, online resources on Investor.gov and public service campaigns or our assistance team that handles investor complaints and solves problems on a daily basis,” said Lori Schock, Director of the SEC’s Office of Investor Education and Advocacy. “This week-long global effort reinforces the importance of what we and others do every day on behalf of America’s investors.”

SEC staff outreach events include: an information session with seniors answering questions on investing, retirement and ways to protect against fraud, a Twitter chat about the various issues surrounding investing with robo-advisers, a Thrift Savings Plan (TSP) program for federal employees covering TSP distribution options, withdrawals, fees and how to avoid scams, and numerous saving and investing presentations for students and military service members.

For a list of other SEC outreach activities or to learn more about this global effort to promote investor education and protection and how investors can get involved, visit Investor.gov.

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https://www.sec.gov/news/press-release/2017-187

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