The SEC Office of the Investor Advocate communicated its FY2021 priorities for protecting and promoting the interests of retail investors.
News & Insights
SEC Chair Jay Clayton, Commissioners Hester Peirce and Elad Roisman and Office of Municipal Securities Director Rebecca Olsen solicited feedback on ways to improve municipal securities disclosure practices.
The SEC adopted a temporary final rule to provide certain relief relating to Form ID Notarizations, Regulation A and Regulation Crowdfunding requirements, and Form MA filings.
In its Annual Report, the SEC Investor Advocate identified several areas of concern for investors, including: (i) reverse factoring; (ii) dual-class share structures and (iii) LIBOR transition issues.
The SEC Office of the Investor Advocate set forth its priorities for protecting and promoting the interests of retail investors in its annual report on objectives for the coming fiscal year.