COVID-19 Procedures: All business with the Commission should be through electronic filing systems, email, or by telephone. For public health safety, in-person visits to SCC offices are suspended. Filings or other deliveries are permitted by drop off at main entrance. On-site staff is minimal and processing of such deliveries may be delayed.
Investor Education Spotlights
- Investor Alert – High Yield Investment Programs
- Investor Alert – Third Party Custodians of Self Directed IRAs and Other Qualified Plans
- Peer to Peer (P2P) Lending – Assessing the Risks
- Investor Bulletin on Life Settlements
- Tips for Checking Out Your Broker
- What is a Trademark or Service Mark?
- The Franchise Disclosure Document – What does it tell you?
- Notice: Stanford Financial Group
- Promissory Notes: Promises, Problems
- Mutual Fund Fees and Discounts
- Your Financial Health: Developing a Financial Plan