4.5 • 775 Ratings
🗓️ 13 November 2019
⏱️ 51 minutes
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0:00.0 | At Jackson, we've created a digital retirement planning experience with you and mine. |
0:05.5 | Visit jackson.com to explore our easy-to-understand resources and user-friendly tools |
0:10.1 | that are designed to enable financial professionals and clients to plan a path to financial freedom. |
0:15.5 | Jackson is short for Jackson Financial Incorporated, Jackson National Life Insurance Company, Lansing, Michigan, |
0:20.5 | and Jackson National Life Insurance Company of New York, purchase New York. |
0:26.5 | Please stay tuned for important disclosure information at the conclusion of this episode. |
0:32.5 | Hi, I'm Christine Ben's Director of Personal Finance for Morningstar, Inc. |
0:36.7 | My guest on the podcast today is Barbara Roper. |
0:39.8 | Barbara is Director of Investor Protection for the Consumer Federation of America, where she has been employed since 1986. |
0:46.5 | A leading consumer spokesperson on investor protection issues, Barbara has conducted studies of abuses in the financial planning industry, state oversight of investment advisors, |
0:56.9 | state and federal financial planning regulation, financial planning software, financial education needs of low-income older persons, |
1:05.0 | the information preferences of mutual fund shareholders, systemic risk regulation, and securities law weaknesses as a cause of the financial |
1:12.8 | crisis. She has testified frequently before Congress and has supported federal and state legislative |
1:18.8 | and regulatory initiatives on a broad range of investor protection issues. Barbara is a member of the |
1:24.9 | SEC's Investor Advisory Committee, FINRA's Investor Issues Group, and the CFP Board's Public Policy Council and Standards Commission. |
1:33.9 | Barbara, welcome to the Longview. |
1:35.6 | Thanks for having me. |
1:36.6 | Thanks so much for being here. |
1:38.4 | Let's start with sort of a big picture question, which is that you've been very critical of the lack of investor protections |
1:45.4 | in your work at CFA, but fees keep coming down. So how do you think things are working for |
1:51.8 | investors today? And where are the biggest gaps in investor protections in your view? |
1:57.4 | So if you think about the sort of general structure of U.S. securities regulation, |
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