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SEC Office of the Investor Advocate - Report on Objectives FY 2015

SEC Office of the Investor Advocate - Report on Objectives FY 2015

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Securities Exchange Commission Office of the Investor Advocate - Report on Objectives Fiscal Year 2015
Securities Exchange Commission Office of the Investor Advocate - Report on Objectives Fiscal Year 2015

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Published by: Vanessa Schoenthaler on Jul 01, 2014
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07/01/2014

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REPORT ON OBJECTIVES
FISCAL YEAR 2015
Ofce of the Investor  Advocate
U.S.SECURITIESANDEXCHANGECOMMISSION 
 
The Office of the Investor Advocate was established pursuant to Section 915 of the DoddFrank Wall Street Reform and Consumer Protection Act of 2010, as codified under Section 4(g) of the Securities Exchange Act of 1934, 15 U.S.C. § 78d(g).
 
 
OFFICE OF THE INVESTOR ADVOCATE
REPORT ON OBJECTIVES
FISCAL YEAR 2015
THE OFFICE OF THE INVESTOR ADVOCATE
wasestablishedpursuanttoSection915oftheDoddFrankWallStreetReformandConsumerProtectionActof2010(the“DoddFrankAct”),ascodifiedunderSection4(g)oftheSecuritiesExchangeActof1934(the“ExchangeAct”),15U.S.C.§78d(g).ExchangeActSection4(g)(2)(A)(ii)providesthattheInvestorAdvo-catebeappointedbytheChairoftheU.S.SecuritiesandExchangeCommission(the“Commis-sion”orthe“SEC”)inconsultationwiththeotherCommissionersandthattheInvestorAdvo-catereportdirectlytotheChair.
1
OnFebruary24,2014,SECChairMaryJoWhiteappointedRickA.FlemingastheCommission’sfirstInvestorAdvocate.ExchangeActSection4(g)(6)requirestheInvestorAdvocatetofiletworeportsperyearwiththeCommitteeonBanking,Housing,andUrbanAffairsoftheSenateandtheCommitteeonFinancialServicesoftheHouseofRepresentatives.
2
AReportonObjectivesisduenotlaterthan June30ofeachyear,anditspurposeistosetforththeobjectivesoftheInvestorAdvocateforthefollowingfiscalyear.
3
TheinstantreportistheInvestorAdvocate’sfirstReportonObjectives.ItcontainsasummaryoftheInvestorAdvocate’sprimaryobjectivesforFiscalYear2015,begin-ningOctober1,2014.AReportonActivitiesisduenolaterthanDecember31ofeachyear.
4
ThisreportshalldescribetheactivitiesoftheInvestorAdvocateduringtheimmediatelyprecedingfiscalyear.Amongotherthings,thereportmustincludeinformationonstepstheInvestorAdvocatehastakentoimprovetheresponsivenessoftheCommissionandselfregulatoryorganizations(“SROs”)toinvestorconcerns,asummaryofthemostseriousproblemsencounteredbyinvestorsduringthereportingperiod,identificationofCommissionorSROactionthatwastakentoaddressthoseproblems,andrecommendationsforadministrativeandlegislativeactionstoresolveproblemsencounteredbyinvestors.
5
ThefirstsuchreportwillbefiledbyDecember31,2014,andwilldescribetheactivitiesoftheOfficeoftheInvestorAdvocatefromitsinceptiononFebruary24,2014,throughtheremainderofFiscalYear2014,endingSeptember30,2014.
Disclaimer: Pursuant to Section 4(g)(6)(B)(iii) of the Exchange Act, 15 U.S.C. § 78d(g)(6)(B)(iii), this Report is provided directly to Congress without any prior review or comment from the Commission, any Commissioner, any other officer or employee of the Commission, or the Office of Management and Budget. Accordingly, the Report expresses solely the views of the Investor Advocate. It does not necessarily reflect the views of the Commission, the Commissioners, or staff of the Commission, and the Commission dis-claims responsibility for the Report and all analyses, findings, and conclusions contained herein.
REPORT ON OBJECTIVES: FISCAL YEAR 2015
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