The Evolution of Retail Investing


The Evolution of Retail Investing and Related Obligations

Retail is an increasingly important component of the market, illustrated by a spike in retail investment activity during the first half of 2020 and increased access to complex derivatives. Nasdaq hosted experts from the SEC, FINRA, SIFMA, and TD Ameritrade to discuss recent retail investing trends and whether changes in retail investing should cause the industry and regulators to re-evaluate their approach and evolve to better protect investors.


  • John Zecca, EVP & Global Chief Legal and Regulatory Officer, Nasdaq  


  • Phil Mackintosh, Chief Economist, Nasdaq 
  • Gerri Walsh, Senior Vice President of Investor Education, FINRA
  • Lori Schock, Head of Office of Investor Education and Advocacy, SEC
  • Ken Bentsen, CEO, SIFMA
  • Joe "JJ" Kinahan, Managing Director and Chief Strategist, TD Ameritrade


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