Staff from the SEC’s Division of Trading and Markets hosted a roundtable on combating retail investor fraud Wednesday, Sept. 26. Chairman Jay Clayton and Commissioners Kara Stein, Robert Jackson Jr., Hester Peirce, and Elad Roisman welcomed the public and panelists as the event kicked off at SEC Headquarters Wednesday morning.
Representatives from the SEC, the Financial Industry Regulatory Authority, various state securities regulators, the financial industry, and interest groups discussed types of fraudulent and manipulative schemes currently targeting retail investors, enhancing the ability of broker-dealers to combat retail investor fraud, and other possible ways to address retail investor fraud.
Information about the roundtable can be found on the Equity Market Structure Roundtable page.
Modified: July 23, 2019