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.

Views: 9


You need to be a member of ADRhub Werner Institute to add comments!

Join ADRhub Werner Institute

@ADRHub Tweets


What is Mediation?



© 2017   Created by Werner Institute.   Powered by

Badges  |  Report an Issue  |  Terms of Service