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Investor Advisory Committee

Investor Advisory Committee header

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

Single-Stock ETFs

13D-G, and 10B-1

Registered Investment Adviser Oversight

Customer Account Statements

Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure

Climate-Related Disclosure Rule

Accounting Modernization

Protecting Older Adult Investors

Investor Advocacy Clinic Funding

Individual Retirement Accounts

Rule 10b5-1 Plans

Special Purpose Acquisition Companies (SPACs)

Minority and Underserved Inclusion

Credit Rating Agencies

Disclosure Effectiveness

Accounting and Financial Disclosure

ESG Disclosure

SEC Guidance and Rule Proposals on Proxy Advisors and Shareholder Proposals

Exchange Rebate Tier Disclosure

Proxy Plumbing

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

Promotion of Electronic Delivery and Development of a Summary Disclosure Document for Delivery of Investment Company Shareholder Reports

To Enhance Information for Bond Market Investors

Mutual Fund Cost Disclosure

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

Crowdfunding

Decimalization and Tick Sizes

Legislation to Fund Investment Adviser Examinations

Broker-Dealer Fiduciary Duty

Universal Proxy

Data Tagging

Target Date Mutual Funds

General Solicitation and Advertising

Other Actions


Letter to SEC re: Cryptocurrency

Letter to SEC re: Ethical AI

Investor as Owner Subcommittee Letter to FASB re: Corporate Income Taxes

Investor as Owner Subcommittee Letter re: Subpart 400 of Reg S-K and Study on Modernization and Simplification

Letter on Regulation S-K Concept Release and Disclosure Effectiveness

Letter to FASB re: Materiality

Email Updates

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News

  • SEC Investor Advisory Committee to Discuss Exempt Offerings and Accredited Investors at September 21 Meeting
    Sept. 19, 2023

Organization


Charter

By-Laws

Subcommittees

Meetings


Schedule for 2023 and 2024

September 21, 2023

Sunshine Act Notice

Agenda

Draft Recommendation regarding Swing Pricing

Draft Recommendation regarding Human Capital Management Disclosure

June 22, 2023

Sunshine Act Notice

Agenda

Draft Recommendation on Single-Stock ETFs

Draft Recommendation on Reg 13D-G, 10B-1, and 9j-1

Draft Recommendation on Registered Investment Adviser Oversight

Webcast Archive - Part 1

Webcast Archive - Part 2

March 2, 2023

Sunshine Act Notice

Agenda

Webcast Archive - Part 1

Webcast Archive - Part 2

Draft Recommendation on Account Statements

December 8, 2022

Sunshine Act Notice

Agenda

Webcast Archive - Part 1

Webcast Archive - Part 2

Minutes

September 21, 2022

Sunshine Act Notice

Agenda

Panelist Info

Draft Recommendation on Accounting Modernization

Draft Recommendation on Climate-related Disclosure

Draft Recommendation on Cybersecurity Disclosure

Webcast Archive - Part 1

Webcast Archive - Part 2

Minutes
 

June 9, 2022

Sunshine Act Notice

Agenda

Panelist Info

Draft Recommendation on Protecting Older Investors

Draft Recommendation on Investor Clinic Funding

Webcast Archive - Part 1

Webcast Archive - Part 2

Minutes

March 10, 2022

Sunshine Act Notice

Agenda

Panelist Info

Webcast Archive - Part 1

Webcast Archive - Part 2

Minutes

December 2, 2021

Meeting Notice

Sunshine Act Notice

Agenda

Panelist Info

Draft Recommendation of the Investor-as-Purchaser Subcommittee on IRAs

Webcast Archive - Part 1

Webcast Archive - Part 2

Minutes

September 9, 2021

Meeting Notice

Sunshine Act Notice

Agenda

Panelist Info

Draft Recommendation of the Investor-as-Purchaser and Investor-as-Owner Subcommittees on SPACs

Draft Recommendation of the Investor-as-Owner Subcommittee on 10b5-1 Plans

Webcast Archive - Part 1

Webcast Archive - Part 2

Minutes

June 10, 2021

Meeting Notice

Sunshine Act Notice

Agenda

Panelist Info

Webcast Archive - Part 1

Webcast Archive - Part 2

Minutes

March 11, 2021

Meeting Notice

Sunshine Act Notice

Agenda

Draft Recommendation on Minority and Underserved Inclusion

Draft Recommendation of the Market Structure Subcommittee on Credit Rating Agencies

Webcast Archive

Minutes

December 3, 2020

Meeting Notice

Sunshine Act Notice

Agenda

Webcast Archive

Minutes

September 24, 2020

Meeting Notice

Sunshine Act Notice

Agenda

Recommendation of the Investor-as-Owner Subcommittee on COVID-19 Challenges to Going Concern Opinions and Audit/Controls Assessments

Webcast Archive

Minutes

May 21, 2020

Agenda

Meeting Notice

Sunshine Act Notice

Recommendation of the Investor as Purchaser Subcommittee on Disclosure Effectiveness

Recommendation of the Investor as Owner Subcommittee on Accounting and Financial Reporting Disclosure

Recommendation of the Investor As Owner Subcommittee on ESG Disclosure

Statement of Dissent Regarding ESG Disclosure Recommendation (Holmes)

Webcast Archive

Minutes

May 4, 2020

Agenda

Sunshine Act Notice

Webcast Archive

Minutes

April 2, 2020

Agenda

Sunshine Act Notice

Webcast Archive

Minutes

Feb. 27, 2020

Agenda

Meeting Notice

Sunshine Act Notice

Webcast Archive

Minutes

Jan. 24, 2020

Agenda

Recommendation of the Market Structure Subcommittee on the Exchange Rebate Tier Disclosure (Revised January 15, 2020)

Recommendation of the Investor-as-Owner Subcommittee Relating to SEC Guidance and Rule Proposals on Proxy Advisors and Shareholder Proposals (Jan. 16, 2020)

Statement of Dissent Regarding SEC Guidance and Rule Proposals on Proxy Advisors and Shareholder Proposals (Stam)

Statement of Dissent Regarding SEC Guidance and Rule Proposals on Proxy Advisors and Shareholder Proposals (Mahoney and Verret)

Statement of Abstention Regarding SEC Guidance and Rule Proposals on Proxy Advisors and Shareholder Proposals (Holmes)

Notice of Meeting

Sunshine Act Notice

Webcast Archive

Minutes

November 7, 2019

Agenda

Press Release

Meeting Notice

Sunshine Act Notice

Webcast Archive

Minutes

September 19, 2019

Agenda

Notice of Meeting

Sunshine Act Notice

Webcast Archive

Minutes

September 5, 2019

Agenda

Notice of Meeting

Sunshine Act Notice

Recommendation of the Investor as Owner Subcommittee on the U.S. Proxy System

Webcast Archive

Minutes

July 25, 2019

Notice of Meeting

Agenda

Sunshine Act Notice

Recommendation of the Market Structure Subcommittee on Investment Research in a Post-MiFID II World

Recommendation of the Investor as Owner Subcommittee on the U.S. Proxy System

Opening Statement of Aline Darbellay

Webcast Archive

Minutes

March 28, 2019

Notice of Meeting

Agenda

Sunshine Act Notice

Recommendation of the Investor as Owner Subcommittee on Human Capital Management Disclosure

Statement of Dissent Regarding Recommendation on Human Capital Management Disclosure

Webcast Archive

Minutes

Meeting Archives

Public Comments


Submit comments

Modified: Feb. 14, 2017

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