Registration as a financial professional should not be limited by the type of investment advice or nature of the advising entity.
Individuals should have adequate redress, including access to the courts and class actions.
Regulators should work to eliminate fraudulent, deceptive, or unfair practices with respect to investment sales, accounting methods, disclosures, and market stru
Brokers and other financial professionals who commit fraud currently face civil sanctions.
Victims of investment fraud should have adequate federal and state statutory remedies, including access courts for individual or class claims.
State regulators should create a regulatory structure to promote consumer protection.
Policymakers should ensure consumer protections in credit insurance.
Policymakers should eliminate unfair, deceptive, or abusive practices in insurance.
Laws and regulations should strengthen and enhance consumer protection. Policymakers should enhance protections against unfair, deceptive, or abusive practices.
Federal legislation should provide a minimum level of consumer protections.