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Diane Publishing Books
Financial Literacy Among Investors
SEC Staff (au)
On July 21, 2010, President Barack Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act), which, among other things, required this study to identify the existing level of financial literacy among retail investors as well as methods and efforts to increase the financial literacy of investors. The study identifies: (1) the existing level of financial literacy among retail investors, including subgroups of investors identified by the Securities and Exchange Comm. (SEC); (2) methods to improve the timing, content, and format of disclosures to investors with respect to financial intermediaries, investment products, and investment services; (3) the most useful and understandable relevant information that retail investors need to make informed financial decisions before engaging a financial intermediary or purchasing an investment product or service that is typically sold to retail investors, including shares of open-end companies; (4) methods to increase the transparency of expenses and conflicts of interests in transactions involving investment services and products, including shares of open-end companies; (5) the most effective existing private and public efforts to educate investors; and (6) in consultation with the Financial Literacy and Education Commission (FLEC), a strategy to increase the financial literacy of investors in order to bring about a positive change in behavior. Figures. This is a print on demand report.
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