Tag Archives: Investor protection and corporate governance

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Capitol Hill Briefing: Restoring Investor Rights

The use of mandatory arbitration in disputes between investors, on the one hand, and brokers or other investment professionals, on the other. Hosted by Americans for Financial Reform, North American Securities Administrators Association and Public Citizen

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Support Investor Protections, Oppose HR 2374

This legislation would prevent the Department of Labor from addressing flaws in protections for retirement savings, protections that have not been updated for almost forty years. It would also delay efforts of the Securities and Exchange Commission to raise the standard of conduct that applies to brokers when they give advice to retail investors.

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AFR Statement on SEC’s JOBS Act Rule

“Without real built-in investor-protection standards, we are seriously concerned that this rule will open the door to mass marketing of hedge funds and other risky and often illiquid ‘private’ securities in a market where abuses are common and SEC oversight is very limited. Fraud and abuse are not good for investors; they’re not good for capital markets, either.”