Statement Summary
The Securities and Exchange Commission's Office of the Investor Advocate presented its Fiscal Year 2025 Report to Congress, detailing its initiatives aimed at assisting retail investors. Established by Congress, this independent office focuses on resolving issues between investors and the SEC or self-regulatory organizations (SROs).
Key Activities
- Identifying areas for regulatory improvement
- Addressing investor problems with financial services
- Analyzing proposed SEC and SRO regulations for their impact on investors
- Recommending changes to mitigate investor challenges
The report underscores the office's commitment to promoting investor interests.
Original Statement
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report on Activities for the Fiscal Year 2025 to Congress, highlighting the initiatives and work of the office during the fiscal year.
The report includes:
- The Office of the Investor Advocate is an independent office that was established by Congress to:
- Assist retail investors in resolving problems with the Commission and self-regulatory organizations (SROs);
- Identify areas where investors would benefit from changes in SEC and SRO rules and regulations;
- Identify investor problems with financial service providers and investment products;
- Analyze the potential impact on investors of proposed regulations and rules of the SEC and SROs;
- Propose regulatory or legislative changes to the Commission and to Congress that might mitigate investor problems and promote investor interests.
