SEC Main Street investors event scheduled in Chicago


Securities and Exchange Commission (SEC) officials will host a Main Street investors event later this month in Chicago, as part of the SEC’s ongoing investor engagement and education efforts.

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“I have heard from investors around the country that they wish they knew more about investing, including how to identify various red flags of fraudulent investment schemes and understanding the impact that fees and costs can have on investments,” SEC Chairman Jay Clayton said. “Helping Main Street investors make informed decisions about their financial future continues to be one of my top priorities as Chairman. An important part of this process is to hear directly from Main Street investors of all types. I look forward to a productive discussion in Chicago.”

The Aug. 15 gathering will focus on issues relevant to Main Street investors, such as tips to avoid fraud, the impact of fees and costs and the key differences between broker-dealers and investment advisers, noting it represents the latest in a series of investor engagement and education events.

The event, which will be held at the Securities and Exchange Commission’s Chicago Regional Office at 175 W. Jackson Blvd., is free and open to the public and the media, officials said, adding participants in the roundtable should be retail investors, including those who work with, or are considering working with a financial professional.

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