What Does a Busy SEC Agenda Mean for Investors?

The new SEC Chair, Gary Gensler, is known for getting things done. But he is faced with an ambitious agenda, including protecting small investors who are increasingly trading through apps on their phones, regulating the exploding cryptocurrency world, encouraging corporate transparency as socially responsible investing grows in popularity, and overseeing the proliferation of SPACs. Host Mike Townsend explores whether Gensler can strike the proper balance to ensure a safe environment for individual investors while keeping the markets running efficiently and promoting transparency from corporations. Also in this episode, Mike covers the latest on the negotiations on Capitol Hill over infrastructure spending and tax increases and the growing support for retirement savings legislation in Congress. WashingtonWise Investor_ is an original podcast from Charles Schwab. For more on the series, visit Schwab.com/WashingtonWise. If you enjoy the show, please leave a ★★★★★ rating or review on Apple Podcasts.  Important Disclosures The policy analysis provided by the Charles Schwab a Co., Inc., does not constitute and should not be interpreted as an endorsement of any political party. The information provided here is for general informational purposes only and should not be considered an individualized recommendation or personalized investment advice. The investment strategies mentioned here may not be suitable for everyone. Each investor needs to review an investment strategy for his or her own particular situation before making any investment decision.  All expressions of opinion are subject to change without notice in reaction to shifting market conditions. Data contained herein from third-party providers is obtained from what are considered reliable sources. However, its accuracy, completeness or reliability cannot be guaranteed.  Investing involves risk, including loss of principal.  Digital currencies, such as bitcoin, are highly volatile and not backed by any central bank or government. Digital currencies lack many of the regulations and consumer protections that legal-tender currencies and regulated securities have. Due to the high level of risk, investors should view Bitcoin as a purely speculative instrument. Whether you are investing in a SPAC by participating in its IPO or by purchasing its securities on the open market following an IPO, you should carefully read the SPAC’s IPO prospectus as well as its periodic and current reports filed with the SEC pursuant to its ongoing reporting obligations. All corporate names are for illustrative purposes only and are not a recommendation, offer to sell, or a solicitation of an offer to buy any security.  (0521-13K9)

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