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Monday, September 8, 2014

SEC Selects First Ombudsman

The SEC has announced that Tracey L. McNeil has been selected to be the first ombudsman for the agency. McNeil, currently a senior council in the SEC’s Office of Minority and Women Inclusion, will begin her post on September 22.

Tracey L. McNeil will report to Rick Fleming, the first head of the SEC’s Office of the Investor Advocate. The Dodd-Frank Act called for the creation of the office and requires the Investor Advocate to appoint an ombudsman who will act as a liaison in resolving problems that retail investors may have with the SEC or self-regulatory organizations. The ombudsman also will establish safeguards to maintain the confidentiality of communications with investors.

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