Human Capital: Investor Advocate Barbara Roper Doesn't Mince Words on SEC Rules

In this episode of ThinkAdvisor’s Human Capital podcast, we caught up with Barbara Roper, director of investor protection for the Consumer Federation of America, as she was preparing for CFA’s annual financial services conference, being held in Washington on Dec. 5th and 6th.

Roper, who’s also a member of the Securities and Exchange Commission’s Investor Advisory Committee, is no shrinking violet when it comes to criticizing SEC rulemakings and their potentially harmful effects on investors.

Listen in as Roper details her concerns about the SEC’s planned expansion of the accredited investor definition, Regulation Best Interest’s potential to leave investors worse off than they were before, as well as what questions she’ll ask the SEC’s two Democratic commissioners.

This is Human Capital’s last episode for 2019. Thanks for joining us! See you next year.

— More Human Capital podcasts:

• Human Capital: Compliance Guru Todd Cipperman Breaks Down SEC’s New Ad Rule
• Norm Champ, Ex-SEC IM Director, Takes on Financial Literacy
• Ric Edelman on Social Security Crisis, SEC’s Crypto Fail
• CFP Board’s Keller Gets Blunt on New Ethics Standards, Reg BI

Melanie Waddell

@Think_MelanieW