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SEC’s investor advocate details 2017 priorities

Joe Mont | December 22, 2016

As 2016 draws to a close, the Securities and Exchange Commission’s Office of the Investor Advocate is presenting its priorities and goals for the year ahead.

The OIA was established at the SEC in February 2014, when Rick Fleming was appointed as the Commission's first Investor Advocate.

The Office’s 2017 forecast comes from a report mandated by Congress. “In broad terms, we will focus on public company disclosure, equity market structure, municipal market reforms, accounting and auditing issues, corporate governance, and fund fees and expenses,” it says.

Some items on the agenda are new this year. For example, it will begin to consider whether investors understand the fees and expenses they pay for an array of products and service providers, including funds, investment advisers, and broker-dealers. As part of this initiative, it...

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