Tag: retail investors

The Commission’s focus on retail investors, reflected not just in enforcement trends but also in the OCIE inspection program, is spawning interesting trends. One is the rise in enforcement actions involving investment adviser. That trend traces to before the current …

Retail Investors: A Key SEC Focus Read More »

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The Commission has repeatedly emphasized the main street, retail investor focus of its Enforcement Division in recent months. Earlier this week, for example, Chairman Clayton discussed the point as he gave a first ever interview from inside the Commission’s Washington …

Retail Investors and the SEC Read More »

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