Investors and Regulators Working Together

Column distributed by Hearst Connecticut Media Group.

Links to resources referenced:

H.R.4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
- https://www.congress.gov/bill/111th-congress/house-bill/4173/actions
  - Related column excerpt:
    - “Both interests are being served through the U.S. Securities and Exchange Commission’s (SEC) Office of the Investor Advocate (OIAD), created in 2014 under the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act.”
Fiscal Year 2025 Office of the Investor Advocate Report on Activities
- https://www.sec.gov/files/fy25-oiad-sar-activities.pdf
  - Related column excerpt:
    - “To accomplish those goals, OIAD benefits from the ‘unique perspectives’ of individual investors. ‘Among those whom OIAD especially seeks to hear from are older investors, new investors, veterans, military, and military spouses, affinity-connected investors, investors from rural and non-metro areas, historically underserved and/or Native American communities, crypto and non-traditional finance investors, investors with disabilities, investors with innovative approaches to investing, and investors with varying levels of exposure to capital markets,’ quoting the Fiscal Year 2025 Office of the Investor Advocate Report on Activities.”
SEC: Submit a Tip or Complaint – Report Possible Securities Law Violations
- https://www.sec.gov/submit-tip-or-complaint/report-possible-securities-law-violations
  - Related column excerpt:
    - “If there are credible allegations of securities violations, the information is referred to the SEC’s Division of Examinations and Enforcement. The public can submit suspected violations at the SEC webpage ‘Report Possible Securities Law Violations.’”
SEC OIG Web Submission
- https://www.govcomhotline.com/SEC
  - Related column excerpt:
    - “If there are reports of fraudsters ‘impersonating the SEC or misappropriating the SEC’s seal,’ the SEC’s Office of the General Counsel and Office of Inspector General are notified. Reports can be filed at the SEC OIG Web Submission page.”
SEC: Submit a Tip or Complaint – Report a Problem with an Investment Account or Financial Professional
- https://www.sec.gov/submit-tip-or-complaint/report-problem-investment-account-or-financial-professional
  - Related column excerpt:
    - “If an investor seeks help with personal investments or an investment account, he or she is referred to the SEC’s Office of Investor Education and Assistance (OIEA). OIEA has a stake in financial literacy education, including maintaining an educational website called Investor.gov for individual investors. The SEC webpage ‘Report a Problem with an Investment Account or Financial Professional’ can be used by investors to file a complaint.”