Notice & Comment

Securities and Exchange Commission seeks Investor Advocate, by Dominique Scalia

The Securities and Exchange Commission in Washington, DC is seeking an Investor Advocate with at least 6 years of post-J.D. legal experience as a practicing attorney. The salary is $230,700.00 per year and the deadline to apply is June 7, 2013.


The Investor Advocate shall report directly to the Chairman; and

  • assist retail investors in resolving significant problems such investors may have with the Commission or with self-regulatory organizations;
  • identify areas in which investors would benefit from changes in the regulations of the Commission or the rules of self-regulatory organizations;
  • identify problems that investors have with financial service providers and investment products;
  • analyze the potential impact on investors of proposed regulations of the Commission; and proposed rules of self-regulatory organizations registered with the Commission;
  • to the extent practicable, propose to the Commission changes in the regulations or orders of the Commission and to Congress any legislative, administrative, or personnel changes that may be appropriate to mitigate problems identified and to promote the interests of investors; and
  • oversee the overall planning, direction, and timely execution of the Office of Investor Advocate, including development, assignment, and approval of goals and objectives for staff.


  • J.D. or LL.B. degree and be an active member of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico; AND
  • Six years post J.D. experience as a practicing attorney; five years of which includes interpreting and applying the provisions of, and providing sound guidance on Federal securities laws, rules, and regulations and advocating for the interests of investors in securities and investor protection issues, from the perspective of investors.

This post was originally published on the legacy ABA Section of Administrative Law and Regulatory Practice Notice and Comment blog, which merged with the Yale Journal on Regulation Notice and Comment blog in 2015.

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