SEC Investor Advocate Rick Fleming has submitted a scathing Report on Activities for fiscal year 2020, charging that the agency rulemakings aimed at modernizing regulations often hurt investors, while the...
SEC’s Office of the Investor Advocate Announces its Priorities for 2021 July 6, 2020 The SEC’s Office of the Investor Advocate, headed by Rick Fleming, has set forth its policy...
New Report by SEC’s Investor Advocate Raises Concerns About Proxy Advisory Firms, Form CRS, Commission’s “Solely Incidental” Interpretation December 29, 2019 Rick FlemmingSEC Investor Advocate The SEC’s Office of...
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