SEC
The Securities and Exchange Commission today announced that it will join the North American Securities Administrators Association (NASAA) and Wisconsin Department of Financial Institutions (DFI) for a Joint Public Roundtable at the DFI headquarters on Tuesday, July 25, 2023, at 10 a.m. CT. The afternoon session of the roundtable will be webcast on the SEC website.
The event will consist of the following key sessions:
- An Investor Roundtable focused on retail investor issues, where investors will engage in a moderated discussion with the Investor Advocate and the Wisconsin DFI Securities Administrator;
- A Public Roundtable Webcast and Investor Case Studies, where retail investors, investigators, and regulators will share experiences of securities frauds, and engage in discussions related to identifying frauds and avoiding suspicious investments;
- Securities Investor Protection Corporation (SIPC) and Canadian Investor Protection Fund (CIPF) moderated discussion on investor protection during periods of firm insolvency; and
- A stakeholder discussion with the SEC’s Retail Strategy Task Force on retail investor frauds, deceptive practices, and what the future of investor protection looks like
Public Release.
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