SEC Announces Departure of OIEA Director Lori J. Schock
Why this matters
This regulatory update announces the departure of the Director of the SEC's Office of Investor Education and Assistance, which is relevant to investment management firms, broker-dealers, and wealth managers in terms of consumer protection, reporting, and governance.
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What the SEC said
The Securities and Exchange Commission today announced that Lori J. Schock, who has served as the Director of the Office of Investor Education and Assistance (OIEA) since 2009, will retire from the agency at the end of December.“I have known Lori for…
Published by SEC . Read the full notice at the source for the authoritative text.
Context
Securities and Exchange Commission (SEC) — Primary regulator of US securities markets. We track 295 updates from them.
US financial regulation is overseen by multiple agencies including the SEC, CFTC, Federal Reserve, OCC and FDIC. Browse all United States updates.
This update is classified under Consumer Protection / Conduct, Reporting & Disclosure, Senior Managers / Governance and Investment Management.