Public Invited to Comment on Proposed SEC Ombuds Office
The Securities and Exchange Commission is calling for public commentary on proposed regulatory initiatives under the Dodd-Frank Act, including the new Ombuds for the Office of the Investor Advocate. Members of the public can express their view by email or an online form.
The new SEC Ombuds will be named by the head of the Office of the Investor Advocate, who is appointed by the SEC Chair. The Investor Advocate will be responsible for assisting individual investors confidentially with issues involving the SEC or other self-regulatory organization.
Since the Dodd-Frank Act did not specify any guidelines for implementing the new Ombuds program, the SEC will rely in part on public commentary in setting up the program. The public comment period will remain open for 30 days, following publication of the comment request in the Federal Register. (SEC
Press Release; Public Comment Form.)
Previously posted on The Ombuds Blog.
The new SEC Ombuds will be named by the head of the Office of the Investor Advocate, who is appointed by the SEC Chair. The Investor Advocate will be responsible for assisting individual investors confidentially with issues involving the SEC or other self-regulatory organization.
Since the Dodd-Frank Act did not specify any guidelines for implementing the new Ombuds program, the SEC will rely in part on public commentary in setting up the program. The public comment period will remain open for 30 days, following publication of the comment request in the Federal Register. (SEC
Press Release; Public Comment Form.)
Previously posted on The Ombuds Blog.
Comment
About
@ADRHub Tweets
ADRHub is supported and maintained by the Negotiation & Conflict Resolution Program at Creighton University
© 2024 Created by ADRhub.com - Creighton NCR.
Powered by
You need to be a member of ADRhub - Creighton NCR to add comments!
Join ADRhub - Creighton NCR