SEC’s New York Office Talks Hot Topics for Retail Investors
Fueled by convenient online access, trading and investing tools, and zero commission trading, the past year has seen an increase in new investors participating in the securities markets.
The SEC’s New York Regional Office and the Retail Strategy Task Force recently co-hosted a virtual forum for retail investors with Fordham Law School and Gabelli School of Business.
The panel was moderated by Richard Best, Director of the SEC’s New York Regional Office, and Barbara Porco, Bene Merenti Accounting Professor at Fordham University’s Gabelli School of Business. The SEC speakers included Lourdes Caballes, Associate Director, Division of Examinations, and Hane Kim, Chief of the Retail Strategy Task Force. The panel also featured Lenel Hickson, Deputy Regional Counsel at the U.S. Commodity Futures Trading Commission, and Gerri Walsh, Senior Vice President of Investor Education at FINRA and President of FINRA’s Investor Education Foundation.
The discussion covered a number of timely topics, including online investing misinformation, options and margin trading, zero commission trading, cryptocurrency, and much more.