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U S investor advocates take aim at RIA arbitration

Firms use forced arbitration to discourage clients from pursuing complaints

United statesJoe peifferJames langtonMicah hauptmanOffice of the investor advocatePublic investors advocate bar associationNational association of consumerAmerican association for justiceOmbudsman for banking servicesUs financial industry regulatory authorityExchange commissionConsumer federation of americaInvestor advocateIndustry regulatory authorityAmerican associationFinancial reform

New Investor Advocacy Coalition Calls On SEC, Congress To Fix RIA Forced Arbitration Problems - Formation Of Investor Advocacy Coalition Follows Increasing Complaints From Wronged Investors, Scathing SEC OIA Report That Found Rias In Violation Of The Fiduciary Duty ; Groups Calling For Reforms To Industry-Favored Forced Arbitration Practices

New Investor Advocacy Coalition Calls On SEC, Congress To Fix RIA Forced Arbitration Problems - Formation Of Investor Advocacy Coalition Follows Increasing Complaints From Wronged Investors, Scathing SEC OIA Report That Found Rias In Violation Of The Fiduciary Duty ; Groups Calling For Reforms To Industry-Favored Forced Arbitration Practices
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United statesMartha perez pedemontiAsia pacificChristine hinesMichael phillipsBrady williamsMicah hauptmanMarykay dragovichRita berardelliJoe peifferAmerican association for justiceOffice of the investor advocatePublic investors advocate bar associationAmerican arbitration associationNational press clubNational association of consumer advocates

Statement On Registered Index-Linked Annuities, Chair Gary Gensler, Sept 29, 2023

Statement On Registered Index-Linked Annuities, Chair Gary Gensler, Sept 29, 2023
mondovisione.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mondovisione.com Daily Mail and Mail on Sunday newspapers.

Brad gudeDavid zimmermanMeridith mitchellJonathan cookTina smithMonica lillySteven kenneyChauncey martinAlexander schillerLindsay mccordMichael khalilPamela ellisAmy millerRoss askanaziElisabeth bentzingerJulie marlowe

Reforming the Securities and Exchange Commission

The U.S. Securities and Exchange Commission (the “Commission” or the “SEC”) is the most important regulator of U.S. capital markets. Its budget has increased by 82 percent over 10 years. But these resources have flowed into unnecessary management, “support,” and ancillary functions, while core functions have been neglected. Its organizational structure is unwieldy. It is management-heavy and highly bureaucratized. The number of direct reports to the Chairman needs to be reduced. Its information technology (IT) programs appear to be poorly managed and are unnecessarily costly.

United statesNew yorkSalt lake cityGeorgetown universityDistrict of columbiaSan franciscoUrska velikonjaMichael piwowarLos angelesLuisa aguilarOffice of minorityCensus bureauOffice of inspectorDivision of tradingDivision of enforcementAgency direction

Regulatory Update and Recent SEC Actions - October 2022 | Blank Rome LLP

REGULATORY UPDATES - SEC Announces Leadership Changes - Anthony (“Tony”) C. Thompson was appointed to a second term as a board member of the Public Company.

United statesHong kongCommonwealth of massachusettsWest virginiaAnthony tonyc thompsonGary genslerGarry genslerToews corporationUs courtCorp finGlobal investment management firmChina securities regulatory commissionOffice of credit ratingsFinancial stability oversight councilNational securities association membershipOffice of crypto assets