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.
Well tailored regulatory measures, along with investor education efforts, can help protect investors from fraudulent and manipulative schemes. To that end, we are holding this roundtable to highlight the problems associated with retail investor fraud and possible regulatory approaches to those problems.
– Division of Trading and Markets Director Brett Redfearn
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.