Mandatory Arbitration Clauses in Registered Investment Advisor Agreements Draw Scrutiny from Regulators

On Dec. 5, 2023, the Office of the Investor Advocate (OIAD) published its Report on Activities for the Fiscal Year 2023, an annual report it submits to Congress regarding the Office’s research activities and policy recommendations concerning investor interests and welfare.

The OIAD is an independent office within the Securities and Exchange Commission (SEC), created by Congress “to provide investors with a voice inside the Commission, to assist retail investors, to study investor behavior, and to support the Investor Advisory Committee of the Commission.”

On Dec. 5, 2023, the Office of the Investor Advocate (OIAD) published its Report on Activities for the Fiscal Year 2023, an annual report it submits to Congress regarding the Office’s research activities and policy recommendations concerning investor interests and welfare.

The OIAD is an independent office within the Securities and Exchange Commission (SEC), created by Congress “to provide investors with a voice inside the Commission, to assist retail investors, to study investor behavior, and to support the Investor Advisory Committee of the Commission.”

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