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Investor Advocate Reports to Congress

June 30, 2015

The Investor Advocate is required to develop reports to Congress twice per year – one focused on future objectives, and the other covering the preceding year’s activities. These reports provide an update on the progress relating to various priorities and objectives, as well as share some of what the Office has learned throughout the year(s).

Specifically, Section 4(g)(6) of the Securities Exchange Act of 1934 (Exchange Act), 15 U.S.C. § 78d(g)(6), requires the Investor Advocate to file two reports per year with the Committee on Banking, Housing, and Urban Affairs of the Senate and the Committee on Financial Services of the House of Representatives. The two reports are the mid-year Report on Objectives covering the forthcoming Fiscal Year and the end-of-year Report on Activities covering the preceding Fiscal Year.

A Report on Objectives is due no later than June 30 of each year, and its purpose is to set forth the objectives of the Investor Advocate for the following Fiscal Year. A Report on Activities is due no later than December 31 of each year. The Report on Activities describes the activities of the Investor Advocate during the immediately preceding Fiscal Year.

Below are the most recently released reports, and the dates delivered to Congress: