Investor-protection laws should be strengthened and adequately enforced.
Investment watchdog agencies should be adequately funded. Their employees should be knowledgeable and mission-driven, and act with integrity.
Rules and regulations should favor effective transparency and disclosure requirements.
Regulators should eliminate or minimize conflicts of interest, particularly with respect to rating d
Regulators should increase transparency, accountability, and independence.
Policymakers should promote transparency in the investment industry.
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.