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The SEC's Office of the Investor Advocate has presented its Report to Congress outlining its goals for fiscal year 2026. The office is dedicated to addressing the concerns of retail investors through research and communication, serving as a liaison between investors and the SEC. Its mission involves assisting investors with issues concerning the SEC and self-regulatory organizations (SROs), advocating for beneficial rule changes, identifying problems in financial services, evaluating the impact of proposed regulations, and suggesting changes to strengthen investor protections. The office aims to enhance the overall interests of investors while ensuring their voices are heard in regulatory discussions.
Statement Summary
The SEC's Office of the Investor Advocate has submitted its Report to Congress outlining its objectives for fiscal year 2026. The office prioritizes research and communication to address retail investors' concerns, acting as an intermediary between investors and the SEC. Established by Congress, its mission includes:
- Assisting retail investors with issues involving the SEC and self-regulatory organizations (SROs).
- Advocating for rule changes to benefit investors.
- Identifying problems with financial services.
- Analyzing the impact of proposed regulations.
- Recommending changes to enhance investor protection and interests.
Original Statement
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the office’s objectives for fiscal year 2026. As detailed in the report, the Investor Advocate’s priorities for fiscal year 2026 include:
“As detailed in this report, our office continues to research and listen to all investors’ concerns and act as a constructive liaison between those investors and the Commission,” said Cristina Martin Firvida, the SEC’s Investor Advocate.
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.