SEC, NASAA and Wisconsin DFI to Host Joint Public Roundtable on Retail Investor Issues

The Securities and Exchange Commission (SEC), North American Securities Administrators Association (NASAA), and Wisconsin Department of Financial Institutions (DFI) are hosting a Joint Public Roundtable in Madison, Wisconsin on Tuesday, July 25th, 2023. The roundtable is open to the public, and an afternoon session will be webcast on the SEC website. Gary Gensler, Chair of SEC, and Mark Uyeda, Commissioner, will provide opening remarks at the event. The agenda includes an Investor Roundtable featuring a moderated discussion with the Investor Advocate and the Wisconsin DFI Securities Administrator. There will also be a Public Roundtable Webcast and Investor Case Studies session, which will include discourses on identifying frauds and avoiding suspicious investments. Additionally, the Securities Investor Protection Corporation (SIPC) and Canadian Investor Protection Fund (CIPF) will have a session dedicated to investor protection during periods of firm insolvency. The last session is a stakeholder discussion with the SEC’s Retail Strategy Task Force on retail investor frauds, deceptive practices, and the future of investor protection. The Joint Public Roundtable aims to engage directly with retail investors while bringing the regulatory and enforcement community together to support investor needs. Those interested can attend the event at Hill Farms State Office Building in Madison, Wisconsin from 10am to 3pm (CT). Alternatively, they can register for the event or watch it online through the SEC website.