Investment Due Diligence Tools, Resources & Outreach from SEC Websites

02.19.13 | Archived

The U.S. Securities and Exchange Commission has created an online bank of valuable information for EB-5 investors. The SEC hosted web portal, investor.gov offers investors a variety of resources to assist potential and current financiers.  A short video on the website summarizes “how investor.gov can help.”

Investors can find suggestions on basic/common investment questions, introductory pages dedicated to the “why” and “how” of financial investment (i.e., everything from an introduction to the markets to research tips), and resources on complex issues such as U.S. securities laws.

A significant portion of the SEC’s investor.gov is dedicated to helping investors avoid financial fraud.  The rigorously updated webpage titled News and Alerts informs browsers of hazardous investments through alerts, bulletins, and press releases – complementing the basic education detailed above on investment basics and research tips.

Alternate tools provided include 401K and Social Security Retirement calculators, Income/Expenses and Net Worth worksheets, and a library of links to Investor Education and Government sponsored websites.

According to the SEC, “That’s the best advice we can give you about how to invest wisely.”  The SEC has devoted a page on their official website, titled Ask Questions, to aid investors in doing just that.

“It doesn’t matter if you are a beginner or have been investing for many years, it’s never too early or too late to start asking questions. It’s almost impossible to ask a dumb question about how you are investing your money.”

Ask Questions supports a healthy vetting process when choosing a financial professional. The publication offers example questions regarding Finance Professionals, Products, Mutual Funds, and Investment Progress.

Featured in this e-brochure is a “How to Handle Problems” section complete with an online complaint form and Securities and Exchange Commission mailing address where complaints can be directed.

Visit Ask Questions for a plethora of links to other SEC investment related publications.

By providing this information to any and all investors through their various websites, the U.S. government is clearly sending a message to investors from all over the world that they are protected under U.S. securities laws, which exist to deter fraud and punish those who partake in it.  It is the responsibility of the investor, however, to perform thorough due diligence on investment opportunities and affiliated business partners.  Thanks to U.S. securities laws, and the outreach and resources of the SEC and FINRA (stay tuned for another blog post about Financial INdustry Regulatory Authority), the tools are not hard to find.

IIUSA is providing the above information to the EB-5 Regional Center industry, and other interested parties, for educational purposes only.  People should always seek out properly credentials professional assistance when make business, investment, and/or immigration decisions.

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