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Category: Securities

2 threats facing today’s investors—and the regulatory response

This article was published in the NAPFA Advisor Magazine. The U.S. economy and financial markets have entered a period of heightened uncertainty, posing fresh challenges for investors. Inflation is up sharply, a possible recession looms, and the securities markets are exhibiting significant volatility while venturing into bear territory. Commodity prices are also experiencing huge price […]

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The SEC’s Whistleblower Rule Helps Protects Main Street Consumers, Investors, and Families Against Securities Crooks, Fraudsters & Rip-off Artists

WASHINGTON, D.C.— Stephen Hall, Legal Director and Securities Specialist at Better Markets, issued the following statement in response to the Securities and Exchange Commission’s (SEC) adoption of a final whistleblower rule reversing two flawed provisions written under the prior administration: “The SEC’s whistleblower program has been an extraordinarily effective enforcement tool in fighting against fraud […]

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Better Markets Applauds the SEC’s Pay Versus Performance Disclosure Rule To Help Investors Understand and Evaluate Executive Compensation

WASHINGTON, D.C.— Stephen Hall, Legal Director and Securities Specialist at Better Markets, issued the following statement in response to the Securities and Exchange Commission’s (SEC) adoption of a final rule requiring public companies to disclose information on the relationship between executive compensation actually paid and companies’ financial performance: “Executive compensation schemes can incentivize the worst […]

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SEC Rules Will Help Provide Reliable and Comparable Information for the Growing Number of Investors Interested in ESG Funds

WASHINGTON, D.C.— Stephen Hall, Legal Director and Securities Specialist at Better Markets, issued the following statement after Better Markets filed two comment letters with the Securities and Exchange Commission (SEC) regarding its proposals to require investment companies, investment advisers, and other entities to disclose to investors additional information regarding their environmental, social, and governance (“ESG”) […]

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Today’s Court Win for the SEC Is a Big Win for Investors

Washington, D.C.  –   Stephen Hall, Legal Director and Securities Specialist for Better Markets, issued the following statement on the decision from the D.C. Circuit in the case of Citadel Securities LLC v. Securities and Exchange Commission: “The Court has handed the SEC a complete and well-deserved win in a case that will make our trading […]

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A Real Robin Hood on Wall Street: Democratizing Equity Markets Without Exploitation

WASHINGTON, D.C.— Dennis M. Kelleher, President and CEO, issued the following statement on the release of an article titled “Democratizing Equity Markets With And Without Exploitation: Robinhood, Gamestop, Hedge Funds, Gamification, High-Frequency Trading, And More,” authored by Better Markets staff in the Western New England Law Review: “Wall Street has been too exclusive, expensive, opaque, […]

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Everything You Need to Know About the Federal Reserve Trading Scandal

Exposing Pandemic Profiteering at American’s Central Bank, Leadership Failures & Cover Up As hundreds of thousands of Americans were dying and tens of millions were being thrown out of work due to a catastrophic pandemic that gripped the country with fear, some of the most senior officials at the U.S. central bank – the Federal […]

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Better Markets Applauds Commissioner Allison Herren Lee’s Leadership and Tenure at the SEC as an Acting Chair, a Commissioner, and a Staff Member

WASHINGTON, D.C.— Dennis M. Kelleher, President and CEO, issued the following statement upon the departure of Commissioner Allison Herren Lee from the Securities and Exchange Commission: “While we welcome incoming Commissioner Jaime Lizarraga to the Securities and Exchange Commission (SEC) today, we would be remiss not to recognize the many contributions of outgoing Commissioner Allison […]

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SEC’s Rollback of Trump-Era Requirements Will Make It Easier for Investors to Receive Independent Advice on Proxy Votes

WASHINGTON, D.C.—Following Better Markets’ recommendations in its December 2021 comment letter, today the SEC rescinded provisions of a 2020 rule that stifled the availability of independent and timely advice for shareholders exercising their proxy voting rights. Legal Director and Securities Specialist Stephen Hall issued the following statement on the rule: “The SEC’s rule is a […]

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