SEC Announces Roundtable on Combating Retail Investor Fraud

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September 20, 2018 TO: Equity Markets Advisory Committee
SEC Rules Committee RE: SEC Announces Roundtable on Combating Retail Investor Fraud

 

The Securities and Exchange Commission recently announced that its Division of Trading and Markets will host a roundtable on September 26 on combating retail investor fraud. The agenda for the roundtable will focus on the types of fraudulent and manipulative schemes currently targeting retail investors and enhancing the ability of broker-dealers and others to combat retail investor fraud. The Commission will announce more details on the agenda and participants for this roundtable soon.

The roundtable will be held at the SEC’s headquarters (100 F Street, NE, Washington, DC) and will begin at 9:30 a.m. The roundtable will be open to the public and webcast live on the Commission’s website. Comments may be submitted in advance of the roundtable. 

 

Ali Olia
Legal Intern

George M. Gilbert
Assistant General Counsel