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.
Procedures for Appointments to the Investor Advisory Committee
If you are interested in serving on the Investor Advisory Committee, please email a letter of interest with applicable information about your relevant experience.
Committee Members
Officers
- Christopher Mirabile, Chair
- Senior Managing Director and Board Member, Launchpad Venture Group
- Chair Emeritus, Angel Capital Association
- Leslie Van Buskirk, Vice Chair
- Administrator, Division of Securities
- State of Wisconsin Department of Financial Institutions
- Ted Daniels, Secretary
- Founder and President
Society for Financial Education
and Professional Development - Brian A. Hellmer, Assistant Secretary
- Chief Investment Officer,
Mendota Financial Group -
Members
- Jamila A. Abston
- Partner
- Ernst & Young LLP
- James Andrus
- Vice President Sustainability Global Markets
- Franklin Templeton
- Cambria Allen-Ratzlaff
- Managing Director and Head of Investor Strategies
- JUST Capital
- Cien Asoera
- Financial Advisor
- Edward Jones
- Cristina Martin Firvida
- Investor Advocate
- U.S. Securities and Exchange Commission
- Gina-Gail S. Fletcher
- Professor of Law
Duke Law School - Elissa Germaine
- Assistant Professor, Clinical Legal Education, St. John’s University School of Law
Associate Director, Securities Arbitration Clinic, St. John’s University School of Law
- Colleen Honigsberg
- Associate Professor of Law
Stanford Law School - Christine M. Lazaro
- Professor of Clinical Legal Education, St. John’s University School of Law
Of Counsel, Law Offices of Brent A. Burns, LLC - Nancy LeaMond
- Executive Vice President
Chief Advocacy and
Engagement Officer - Community, State and
National Affairs, AARP - Lori Lucas
- Former President and CEO,
Employee Benefit Research Institute - Andrew Park
- Senior Policy Analyst—Hedge Funds and Private Equity
- Americans for Financial Reform
- Sandra J. Peters
- Senior Head, Global Financial Reporting Policy
- CFA Institute
- Dr. David Rhoiney, D.O.
- Staff General Surgeon
- U.S. Navy
- Paul F. Roye
- Retired, Former Senior Vice President and Senior Counsel, Fund Business Management Group
- Capital Research and Management Company
- Brian L. Schorr
- Partner and Chief Legal Officer
- Trian Fund Management, L.P.
- Paul Sommerstad
- Partner
- Cerity Partners
- Alice Stinebaugh
- Retired, Social Studies Chair, Parkland School District
- Retired Adjunct Instructor in Economics, University of Scranton
- Joanne Yoo
- Managing Director
- Development Partners International
See also: Subcommittee Members
Recommendations of the Investor Advisory Committee
Human Capital Management Disclosure
Open-End Fund Liquidity Risk Management Programs and Swing Pricing
Registered Investment Adviser Oversight
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
Climate-Related Disclosure Rule
Protecting Older Adult Investors
Investor Advocacy Clinic Funding
Individual Retirement Accounts
Special Purpose Acquisition Companies (SPACs)
Minority and Underserved Inclusion
Accounting and Financial Disclosure
SEC Guidance and Rule Proposals on Proxy Advisors and Shareholder Proposals
Exchange Rebate Tier Disclosure
Investment Research in a Post-MiFID II World
Human Capital Management Disclosure
Proposed Regulation Best Interest
Transaction Fee Pilot for NMS Stocks
Select Enhancements to Protect Retail Investors in Municipal and Corporate Bonds
Financial Support for Law School Clinics that Support Investors
On Dual Class and Other Entrenching Governance Structures in Public Companies
To Enhance Information for Bond Market Investors
Empowering Elders and Other Investors: Background Checks in the Financial Markets
Shortening the Trade Settlement Cycle in U.S. Financial Markets
Accredited Investor Definition
Impartiality in the Disclosure of Preliminary Voting Results
Legislation to Fund Investment Adviser Examinations
General Solicitation and Advertising
Other Actions
Letter to SEC re: Cryptocurrency
Investor as Owner Subcommittee Letter to FASB re: Corporate Income Taxes
Letter on Regulation S-K Concept Release and Disclosure Effectiveness
Modified: Feb. 14, 2017