In a speech today before the Consumer Federation of America, U.S. Securities and Exchange Commission head Mary Jo White touted the agency’s efforts to protect individual investors, describing the mission as “a constant focus of the SEC.”
In fiscal year 2013, she said, the SEC returned $3.4 billion in disgorgement and penalties to harmed investors, an agency record. She also said the agency is considering new rules that would establish a uniform fiduciary standard for broker-dealers and investment advisers and is reviewing mandatory predispute arbitration agreements.
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