On September 6, 2019, Co-Director of Enforcement Steven Peikin of the SEC delivered a speech at the Securities Conference 2019. During this address, he discussed whether the SEC's Division of Enforcement has been effective in achieving the SEC's mission.
Because retail investors are often especially vulnerable to bad actors in the securities markets, the SEC has made protecting them a top priority. One component of this effort was the formation in September 2017 of the Retail Strategy Task Focus (RSTF). The RSTF has two main objectives, both of which have a direct impact on "Main Street Investors": first, the development of data-driven analytic strategies for identifying practices in the securities markets that harm retail investors, and then generating enforcement matters in these areas; and second, to collaborate within and beyond the SEC on retail investor advocacy and outreach. The RSTF has carried out several lead-generation initiatives that led to swift enforcement actions based on the use of data analytics. The entire speech is available at http://bit.ly/2otAl90.
Originally published in REVERSEinquiries: Volume 2, Issue
9.
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