SEC appoints John Moses to lead investor education office
The U.S. securities regulator is naming a permanent head for the office that helps retail investors navigate markets and avoid fraud. John Moses, who has been serving as acting director, takes over the investor education and assistance unit after holding senior roles at the agency since 2016.
Highlights
- SEC appointed John Moses as director of the Office of Investor Education and Assistance after he served as acting director and deputy director since 2020.
- Moses emphasizes expanding investor outreach and improving financial education tools to assist tens of thousands of investors contacting the SEC annually.
- SEC Chairman Paul S. Atkins stated investor education remains central to protecting investors in U.S. capital markets, highlighting Moses' outreach and communication experience.
Leadership move at investor assistance unit
The appointment was announced by the Securities and Exchange Commission, which said Moses will serve as director of the Office of Investor Education and Assistance, the division that provides services and resources aimed at helping investors build their financial futures and guard against investment fraud.Moses joined the SEC in 2016 and has held several positions across the agency, including managing executive in the Office of the Chairman. He became deputy director of the Office of Investor Education and Assistance in 2020 and most recently served as acting director before being named to the permanent post.
SEC Chairman Paul S. Atkins said Moses combines investor outreach experience with strong communication skills, adding that investor education remains central to the agency's mission of protecting investors in U.S. capital markets.
Background and investor outreach focus
Moses said staff in the office have shown a consistent commitment to assisting the tens of thousands of investors who contact the SEC each year with investment-related questions and concerns. He said the office is continuing to expand the ways it reaches investors and delivers tools and information for informed decision-making.Before joining the regulator, Moses worked in private-sector real estate and operations leadership. He is also a veteran of the U.S. Navy, where he served as a surface warfare officer and security team leader during Operation Iraqi Freedom, and he holds degrees from Stanford University as well as an MBA from Harvard Business School.
Our earlier article on Robinhood’s regulatory approval to underwrite IPOs explained how the decision could open new capital-markets revenue and attract more institutional business for the broker. We also noted that the stock’s upside momentum was supported by strong platform asset growth and insider buying, while overbought indicators and profit-taking signaled the risk of a near-term pullback.
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