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U.S. investor advocates take aim at RIA arbitration

Firms use forced arbitration to discourage clients from pursuing complaints

New Investor Advocacy Coalition Calls On SEC, Congress To Fix RIA Forced Arbitration Problems - Formation Of Investor Advocacy Coalition Follows Increasing Complaints From Wronged Investors, Scathing SEC OIA Report That Found Rias In 'Violation Of The Fiduciary Duty'; Groups Calling For Reforms To Industry-Favored Forced Arbitration Practices

Statement On Registered Index-Linked Annuities, Chair Gary Gensler, Sept. 29, 2023

Reforming the Securities and Exchange Commission

The U.S. Securities and Exchange Commission (the “Commission” or the “SEC”) is the most important regulator of U.S. capital markets. Its budget has increased by 82 percent over 10 years. But these resources have flowed into unnecessary management, “support,” and ancillary functions, while core functions have been neglected. Its organizational structure is unwieldy. It is management-heavy and highly bureaucratized. The number of direct reports to the Chairman needs to be reduced. Its information technology (IT) programs appear to be poorly managed and are unnecessarily costly.

Regulatory Update and Recent SEC Actions - October 2022 | Blank Rome LLP

REGULATORY UPDATES - SEC Announces Leadership Changes - Anthony (“Tony”) C. Thompson was appointed to a second term as a board member of the Public Company...

Regulatory Update and Recent SEC Actions

Anthony (“Tony”) C. Thompson was appointed to a second term as a board member of the Public Company Accounting Oversight Board (“PCAOB”), which will…

Democratizing finance: The primary bond market is next

Online retail broker Robinhood may have helped bring the phrase ‘democratize finance’ into focus recently, but this development – to essentially enable everyone greater, better, and fairer access to markets and capital – is something that is decades old.