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.
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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.
The SEC Office of the Investor Advocate identified "problematic products and practices" and summarized steps the agency and related self-regulatory organizations took to respond to investor concerns during the past year.
The SEC Office of the Investor Advocate released an Annual Report on Objectives for fiscal year 2018.
FINRA reminded member firms that funding for the Governmental Accounting Standards Board ("GASB") comes from the GASB Account Support Fee, collected on a quarterly basis from member firms that report trades to the MSRB.