Securities Division March 2012 Newsletter

In this issue we report on the Elder Investment Fraud and Financial Exploitation (EIFFE) Prevention Program that was conducted at the J. Paul Sticht Center on Aging at Wake Forest Baptist Hospital on March 23. We also note that on April 26, the Investor Education Program will have achieved of its goal of conducting at least one educational program in all 100 of North Carolina’s counties when we do a presentation at the Pamlico County Senior Services office in Alliance, NC. We include a notice that the U.S. Treasury Department is in the midst of holding its Third Annual National Financial Capability Challenge. We include investor alerts originally published by the Securities and Exchange Commission (SEC) on Real Estate Investment Trusts (REITs) and by the Financial Industry Regulatory Authority (FINRA) on how to read and understand your brokerage account statements and trade confirmations. On our Multimedia Page we include video footage of Secretary Elaine F. Marshall speaking at the EIFFE program. We also include an updated Calendar of Events as well as our On The Docket and News From the Regulators features.