§ 200.24a - Director of the Office of Investor Education and Advocacy.

§ 200.24a Director of the Office of Consumer AffairsInvestor Education and Advocacy.

The Director of the Office of Consumer Affairs Investor Education and Advocacy is responsible to the Chairman for the Commission's investor education and consumer protection program. The program includesinvestor assistance programs. These programs include, but is are not limited to:

(a) Presenting seminars and instructional programs to educate investors about the securities markets and their rights as investors; Educating investors through in-person outreach, digital and social media, and other communication channels, including the Commission's website for individual investors, Investor.gov, by preparing and distributing to the public materials educational content describing the operations of the securities markets, developing strategies for prudent investor behavior, and the rights of investors in disputes they may have with individuals and entities regulated by the Commission; and increasing public knowledge of the functions of the Commission.

(b) Implementing and administering a nationwide system for resolving investor complaints against individuals and entities regulated by the Commission by processing complaints received from individual investors and assuring seeking to ensure that regulated individual individuals and entities process and respond to such complaints.

(c) Providing information to investors and others who inquire about individuals and entities regulated by the Commission, the operation of the securities markets, or the functions of the Commission.

(d) Advising the Commission and its staff, and exchanging information with domestic and international regulators and self-regulatory organizations, about problems frequently encountered by investors and possible solutions to them.

(e) Transmitting to other offices and divisions of the Commission information provided by investors which concerns the responsibilities of these offices and divisions.

(f) Providing for greater consumer investor input in Commission rulemaking proceedings.

[60 86 FR 146279443, MarFeb. 2016, 19952021]