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BEWARE OF FAKE "SEC APPROVED" SECURITIES
05/08/2019

In a recent investor alert, the Securities and Exchange Commission's Office of Investor Education and Advocacy warns investors about misrepresentations about SEC “approvals” of offerings. Companies offering securities for sale, including through initial coin offerings (ICOs), are in some cases subject to filing requirements with the SEC. But you should know that a filing does not mean that the SEC has in any way validated or approved of the offering. Indeed, the SEC never “approves” an offering. The SEC has recently observed situations in which sponsors of ICOs have allegedly touted SEC forms and filings as indications that the investment has been “approved” by the SEC. That is not true. Although a company may make a filing on the SEC’s EDGAR database, that filing does not confer any special status. While the SEC staff reviews certain forms and filings for compliance with disclosure obligations, the SEC does not evaluate the merits of any offering nor does it determine if any securities offered are “good” investments … HIGHLIGHTED EVENT: Want to learn more about investing? Attend an AAII Local Chapter Meeting near you...

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Formed in 1989, the ICI Education Foundation (ICIEF) is the educational affiliate of the Investment Company Institute, the national association of US investment companies. ICIEF partners with government agencies and other nonprofit organizations to develop, deliver, and promote investment education programs to a variety of specific audiences. The Foundation also participates in financial education advocacy coalitions, conferences, and initiatives that promote saving and investing nationwide. To contact ICIEF, go here.



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