Investor Protection
Protecting investors is central to SIFMA’s mission. Every investor – whether saving for retirement, purchasing a home, or investing for the future – deserves access to transparent markets, sound advice, and safeguards against fraud and abuse. Working with our members, regulators, and policymakers, SIFMA advances policies and practices that uphold the highest standards of integrity and strengthen investor confidence in the financial system.
Key Focus Areas
Ensuring Strong Standards and Oversight
SIFMA supports robust regulatory frameworks that protect investors while ensuring access to financial advice and choice in how they invest. We advocate for balanced oversight that promotes both investor protection and market efficiency, including effective implementation of the SEC’s Regulation Best Interest (Reg BI) and related fiduciary standards.
Protecting Vulnerable and Senior Investors
Safeguarding older and at-risk investors remains a top priority. SIFMA collaborates with industry members, academics, and state and federal regulators to strengthen tools and training that help prevent financial exploitation and cognitive-related abuse.
Initiatives include our Senior Investor Protection Toolkit, the AARP BankSafe Training Program, and the HelpVul unified reporting portal, developed in partnership with NAPSA and EverSafe.
Advancing Financial Education and Literacy
Empowering investors with the knowledge to make informed decisions is vital to protection and confidence. Through the work of the SIFMA Foundation, SIFMA supports financial literacy programs and collaborates with schools, nonprofits, and community organizations to help individuals understand risk, diversify portfolios, and spot potential scams.
Strengthening Industry Collaboration
Investor protection is most effective when the industry, regulators, and advocates work together. SIFMA convenes workshops, shares best practices, and engages with partners such as AARP, EverSafe, WISER, and the NASPA to promote coordinated efforts to detect and prevent exploitation.
The Bottom Line
Investor protection is the foundation of market integrity. Through advocacy, education, and partnership, SIFMA works to ensure investors of all ages and experience levels can participate in the capital markets with confidence, access trusted advice, and safeguard their financial futures.
