Abstract

http://ssrn.com/abstract=1433797
 


 



Protecting the Retail Investor in an Age of Financial Uncertainty


Barbara Black


affiliation not provided to SSRN

July 15th, 2009

University of Dayton Law Review, Vol. 34, 2009
U of Cincinnati Public Law Research Paper No. 09-15

Abstract:     
This essay, originating in a presentation made at the University of Dayton School of Law's Fallout from the Bailout Symposium on March 20, 2009, first sets forth some comparisons between other recent financial crises and the 2008 financial meltdown. It then provides an assessment of the SEC's role during the financial crisis and concludes with a review of the key provisions of the Obama Administration's proposed financial regulatory reform that affect the SEC and investor protection. The Obama proposal offers no redesign of the SEC, relying instead on SEC Chairman Mary Schapiro's commitment to re-energize and re-commit the agency to investor protection. It remains very much to be seen whether these efforts will be sufficient to protect the retail investor from future fraud and to restore her confidence in the markets.

Number of Pages in PDF File: 27

Keywords: financial meltdown, SEC, investor protection, retail investor

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Date posted: July 16, 2009 ; Last revised: August 6, 2009

Suggested Citation

Black, Barbara, Protecting the Retail Investor in an Age of Financial Uncertainty (July 15th, 2009). U of Cincinnati Public Law Research Paper No. 09-15. Available at SSRN: http://ssrn.com/abstract=1433797

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Barbara Black (Contact Author)
affiliation not provided to SSRN
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