Main Street investors Archives - The Industry Spread

SEC Chairman Clayton Announces Event for Main Street Investors in Chicago

August 10, 2019

Chairman Clayton will participate in a roundtable with Main Street investors as part of the SEC’s ongoing investor engagement and education efforts. The roundtable will focus on issues relevant to Main Street investors, such as tips to avoid fraud, the impact of fees and costs, and the key differences between broker-dealers and investment advisers. It is the latest in a series of investor engagement and education events that included a previous investor roundtable held earlier this summer in Boston.  Director Lori Schock from the SEC’s Office of Investor Education and Advocacy is expected to join Chairman Clayton at this event.

Chairman Clayton Highlights New Members of Executive Staff

June 28, 2019

The Securities and Exchange Commission today released a full roster of the executive staff of Chairman Jay Clayton, including several individuals who have recently joined the office. Chairman Clayton’s executive staff is responsible for advising the Chairman on all matters before the Commission, working closely with agency staff, and helping the Chairman perform all day-to-day operations needed to fulfill the SEC’s mission.

Ahmed Abonamah Named Deputy Director of the Office of Municipal Securities

June 7, 2019

The Securities and Exchange Commission today announced that Ahmed Abonamah has been named Deputy Director of the agency’s Office of Municipal Securities (OMS). Mr. Abonamah will oversee many of OMS’s strategic initiatives as well as advise OMS’s leadership on legal, strategic, and policy matters regarding the municipal securities market.