Other
Office of the Investor Advocate Speeches, Public Statements, and White Papers
Feb. 5, 2015
- Comment: PCAOB Advisory Groups (February 2022)
- More Data, More Problems (April 26, 2021)
- Comment: Making Sustainability Disclosure a Reality (August 2020)
- Dual Class Shares: A Recipe for Disaster (October 15, 2019)
- Statement Regarding the SEC’s Rulemaking Package for Investment Advisers and Broker-Dealers, (June 5, 2019)
- How the SEC Works to Protect Senior Investors, (May 2019)
- Important Issues for Investors in 2019, (April 8, 2019)
- Research Report: Form CRS Relationship Summary, (November 2018)
- Research Report: The Retail Market for Investment Advice, (October 2018)
- Elder Financial Exploitation: A White Paper, (June 2018)
- Mandatory Arbitration: An Illusory Remedy for Public Company Shareholders, (February 24, 2018)
- The Rulemaking Process: Two Accounting and Auditing Mini-case Studies, (August 22, 2017); see also accompanying slides
- Enhancing the Demand for IPOs, (May 9, 2017)
- Improving Investor Engagement, (February 24, 2017)
- Perspectives on Retirement Readiness in the United States: A White Paper, (November 28, 2016)
- Moving Forward with the Commission's Disclosure Effectiveness Initiative, (November 19, 2016)
- Examining the Dodd-Frank Act and the Future of Financial Regulation, (November 16, 2016)
- Improving Disclosure with Smart Data, October 24, 2016
- Investor Protection in the Municipal Securities Markets, August 25, 2016
- The Falling Leaves of the Buttonwood Tree, February 19, 2016
- Statement of Investor Advocate Regarding First Official Recommendation to the Commission, Oct. 16, 2015
- The Importance of Smart Regulation, April 14, 2015
- The Benefits of Structured Data for Investors, March 24, 2015
- Effective Disclosure for the 21st Century Investor, Feb. 20, 2015
- Protecting Elderly Investors from Financial Exploitation, American Retirement Initiative, Feb. 5, 2015
- The Case for User Fees, 38th Annual Southwest Securities, August 19, 2014
- Video: Rick Fleming on His Role as Investor Advocate (see video at 20:35)
Modified: Feb. 14, 2023