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U.S. S. Securities and Exc Securities and Exchange ange Commission Begins at 2:00 pm Commission Begins at 2:00 pm TO JOIN BY TELEPHONE: TO JOIN BY TELEPHONE: Phone: (5 Phone: (510) 2 ) 210-8882 0-8882 | Access Code: 1 Access Code: 199 1

  1. U.S. S. Securities and Exc Securities and Exchange ange Commission Begins at 2:00 pm Commission Begins at 2:00 pm TO JOIN BY TELEPHONE: TO JOIN BY TELEPHONE: Phone: (5 Phone: (510) 2 ) 210-8882 0-8882 | Access Code: 1 Access Code: 199 1 99 191 92 1 9244 4

  2. U.S. Securities and Exchange Commission Your SEC at Work: Resources and Support for Investors and Small Businesses The Securities and Exchange Commission is the nation’s primary regulator of investments and the investment industry. In our program, led by two experienced SEC professionals, you will learn more about: • resources the SEC has to help entrepreneurs access capital to grow their businesses; • fundamentals of investing, including how to check out investments and investment professionals; and • how to protect yourself from common investment scams. Presenters: Julia Huseman Senior Enforcement Counsel, Securities and Exchange Commission, Fort Worth Anthony McNeal Senior Exam Manager, Securities and Exchange Commission, Fort Worth 1 Working Together to Serve Diverse Communities: A Virtual Resource Fair

  3. yxwvutsrponmlkjihgfedcbaYUTSRQPOMLKJIHGFEDCBA SEC Disclaimer The SEC’s Fort Worth Regional is providing this information as a service to investors. This presentation is not a statement of official SEC policy, a legal interpretation, or investment advice. The views express by the speakers are their own and not the views or the Commission or other staff members. 2

  4. Overview of the SEC 3

  5. Creation of the SEC Created by Congress in 1934 following stock market crash of 1929 to: • Restore confidence in the stock market • Enforce securities laws 4

  6. Mission of the SEC • Protect investors • Maintain fair, orderly, and efficient markets • Facilitate capital formation 5

  7. SEC Responsibilities • Enact rules to maintain fair, orderly and efficient markets • Review disclosures of public companies • Examine broker-dealers, investment advisers and other market participants • Enforce the federal securities laws - Collected $4.3 billion from 862 enforcement actions (FY 2019) 6

  8. Investment Professionals 7

  9. Investment Professionals • Broker-dealers and investment advisers can both help you with investing • They differ in the types of services they provide and how you pay for them • Be sure an investment professional can offer the services you want 8

  10. Relationship Summary (Form CRS) • SEC rules require broker-dealers and investment advisers to provide you a “relationship summary” • A relationship summary must contain clearly written, meaningful, and current information about the firm and the services it offers 9

  11. Relationship Summary (Form CRS) Summarizes information about the firm including: • Services • Fees and costs • Conflicts of interest • Required standards of conduct • Firm/representative disciplinary history 10

  12. Relationship Summary (Form CRS) • Q & A format promotes comparison of firms • “Conversation starters” spark discussion with an investment professional • Plain English makes it easier to understand For more information, visit Investor.gov/CRS 11

  13. Protecting Against Fraud 12

  14. N O R ISK ! yxwvutsrponmlkjihgfedcbaYUTSRQPOMLKJIHGFEDCBA Red Flags of Fraud G UARANTEED G UARANTEED • Sounds too good to be true, such R ETURNS ! R ETURNS ! as promises of high returns with H UGE U PSIDE , H UGE U PSIDE , N O R ISK ! little or no risk • Pressure to buy RIGHT NOW • Lack of documentation, such as: - No public filings - No statements - No prospectus • Unlicensed or unregistered salesperson 13

  15. Unsolicited Offers The salesperson or promoter approaches you, not the other way around • Examples: - Cold call - Email - Social media - Radio and newsletters - Direct mail - Free dinner seminar • How to respond: Ignore them, and if you don’t, always do your own research 14

  16. Affinity Fraud • Affinity frauds target members of identifiable groups • Fraudsters often are members of the group or pretend to be yxwvutsrponmlkjihgfedcbaYUTSRQPOMLKJIHGFEDCBA 15 Plays “Big Frank” audio from public service campaign

  17. Groups Targeted Includes: Seniors/Retirees Ethnic Communities Military Personnel Professional Athletes Federal Employees Religious Groups 16

  18. Faith-Based Affinity Fraud • A type of affinity fraud that targets members of a shared faith • Criminals target both broad-based communities (for example, people of a specific religion) as well as smaller groups (for example, people who attend the same mosque, church, or synagogue) 17

  19. Faith-Based Affinity Fraud • While it may be hard to believe someone who shares your beliefs and values would ever try to cheat you, the losses can be devastating if they do • Some scams even enlist leaders of a group to spread the word about the scheme. Those leaders may not realize the “investment” is actually a fraud, which means they too may be victims 18

  20. Faith-Based Affinity Fraud • Always “Ask and Check” even if you know the person making the investment offer through your faith-based community • Remember: the person telling you about the investment might have been scammed 19

  21. Key Things to Check For 3 key things to look for when you search an Investment Professional on Investor.gov : 1. If “Registered” appears in green, that person is licensed by a regulatory authority 2. If “Previously Registered” appears in gray, that person was registered in the past but currently isn't 3. If “Disclosure Reported” appears in red, that person has had a complaint, sanction or judgment filed against them. You should click “ Get Full Report ” for the details before proceeding 20

  22. EDGAR 21

  23. Other Steps to Protect Yourself • Verify anyone claiming to be from the government (call the agency) • Don’t pay for investments with credit cards, gift cards, or wires sent overseas • Don’t speak to unknown salespeople – and if you do, never share any personal information • Don’t pay an upfront fee in order to claim proceeds, stock, or winnings 22

  24. Applying for Jobs with the SEC 23

  25. How do I find SEC jobs? USAJobs • www.usajobs.gov SEC Website • www.sec.gov/jobs • http://www.sec.gov/divisions.shtml • SEC Social Media 24

  26. SEC Resources 25

  27. Investor.gov 26

  28. Financial Planning Tools 27

  29. Investor.gov Calculators 28

  30. Investor Alerts and Bulletins • Five Red Flags of Investment Fraud • Protecting Your Online Investment Accounts from Fraud • Robo-Advisers • Initial Coin Offerings • Top Tips for Selecting a Financial Professional 29

  31. yxwvutsrponmlkjihgfedcbaYUTSRQPOMLKJIHGFEDCBA Let’s Stay in Touch… Office of Investor Education and Advocacy U.S. Securities and Exchange Commission Investor Assistance: 800 ‐ 732 ‐ 0330 | help@sec.gov Investor.gov www.facebook.com/SECInvestorEducation @SEC_Investor_Ed 30 Outreach@SEC.gov

  32. Questions? Send your question by Chat : • Open the Chat panel • In the Send To or To drop-down list, select the recipient of your question • Type your message in the Chat text box, then press Enter on your keyboard. yxwvutsrponmlkjihgfedcbaYUTSRQPOMLKJIHGFEDCBA 31 Working Together to Serve Diverse Communities: A Virtual Resource Fair

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