SEC Town Hall Wrap-Up

If you missed our second Town Hall, you can watch it here.

AAII hosted U.S. Securities and Exchange Commission (SEC) chairman Jay Clayton and education director Lori Schock. They addressed AAII members’ concerns in a wide-ranging discussion covering the volatile markets, investor scams, corporate reporting, SEC initiatives and teaching your kids.

The SEC is an independent agency tasked with protecting investors and overseeing the securities markets.

Here are some of the links and references from this week’s webinar: 

Presentation Slides

https://www.aaii.com/files/images/2020_AAII_Rotating_Slides.pdf  

Other SEC Handouts

https://www.aaii.com/files/images/Jay_Clayton_Basics.pdf  

https://www.aaii.com/files/images/OIEA_Financial_Capability_Checklist.pdf

SEC Resources

• Investor.gov—SEC’s main website for individual investors 
• Investor Alerts and Bulletins
• Frauds Targeting Main Street Investors During Coronavirus
• Jay Clayton Video Tips for Investors
• EDGAR Database of Company Filings
• Accredited Investors 
• Private Placements
• Regulation BI (Best Interest) Initiative
• Report Suspected Securities Fraud or Wrongdoing

Trending Video Mentioned During Webinar

• Dfhappy Twitter—Teach our babies

AAII Articles

• EDGAR: What to Look For
• How to Read a 10-K Filing
• Using SEC Filings to Identify Risk Factors
• IPO Scam Uses Fake SEC Documents
• Shorting: A Strategy for Profiting From Price Declines

Check out AAII’s past and future digital events at our Webinars page.