Protecting the Retail Investor in an Age of Financial Uncertainty
University of Cincinnati - College of Law
July 15th, 2009
University of Dayton Law Review, Vol. 34, 2009
U of Cincinnati Public Law Research Paper No. 09-15
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
Date posted: July 16, 2009 ; Last revised: August 6, 2009
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