The Securities and Exchange Commission’s Division of Trading and Markets plans to hold a roundtable on Sept. 26 to discuss steps that can be taken to enhance the ability of regulators, broker-dealers and others to combat retail investor fraud.
The roundtable will be held at SEC headquarters in Washington. The commission said it wants to hear views from a broad range of market participants.
Comments may also be submitted to the agency electronically or on paper. Information that is submitted will become part of the public record of the roundtable and posted on the commission’s website.