Investor Advisory Committee

Section 911 of the Dodd-Frank Act established the new Investor Advisory Committee to advise the Commission on regulatory priorities, the regulation of securities products, trading strategies, fee structures, the effectiveness of disclosure, and on initiatives to protect investor interests and to promote investor confidence and the integrity of the securities marketplace. The Dodd-Frank Act authorizes the committee to submit findings and recommendations for review and consideration by the Commission.

Mary Jo White, SEC Chairman

Recommendations of the Investor Advisory Committee

Committee Members

Kurt Schacht, Chairman
Managing Director
CFA Institute
Anne Sheehan, Vice Chairman
Director of Corporate Governance
California State Teachers' Retirement System
J. Robert Brown, Jr., Secretary
Law Professor
University of Denver
Jean Setzfand, Assistant Secretary
Director of Financial Security
Roy Katzovicz, Chair, Investor as Owner Subcommittee
Chairman, Saddle Point Group, LLC
Barbara Roper, Chair, Investor as Purchaser Subcommittee
Director of Investor Protection
Consumer Federation of America
Steven Wallman, Chair, Market Structure Subcommittee
Founder and Chief Executive Officer
Foliofn, Inc.
Joseph V. Carcello, Vice Chair, Investor as Owner Subcommittee
Department Head and Professor, University of Tennessee Department of Accounting and Information Management, and Executive Director, University of Tennessee Corporate Governance Center
Roger Ganser, Vice Chair, Investor as Purchaser Subcommittee
Chairman of the Board of Directors
Darcy Bradbury, Vice Chair, Market Structure Subcommittee
Managing Director and Director of External Affairs
D.E. Shaw & Co., L.P.
Lisa M. Fairfax
Leroy Sorenson Merrifield Research Professor of Law; Director of Conference Programs, C-LEAF
George Washington University Law School
Rick Fleming
Investor Advocate
Matthew Furman
Executive Vice President and Group General Counsel
Willis Group
James Glassman
Executive Director
George W. Bush Institute
Craig Goettsch
Director of Investor Education and Consumer Outreach
Iowa Insurance Division
Joseph Grundfest
William A. Franke Professor of Law and Business
Stanford Law School
Stephen Holmes
General Partner and Chief Operating Officer
InterWest Partners
Adam Kanzer
Managing Director and Director of Corporate Engagement and Public Policy, Domini Social Investments LLC
Vice President, Domini Funds
William D. Lee
Chief Investment Officer & Vice President, Foundation and Pension Investments
Kaiser Permanente
Hester Peirce
Senior Research Fellow
Mercatus Center at George Mason University
Damon Silvers
Associate General Counsel
Archive: October 15, 2015 Meeting

By-Laws and Operating Procedures


Submit comments to the Committee

Comments received by the Committee are available

Schedule for 2015 and 2016