This page provides a schedule of the upcoming meetings of the Commission, public appearances of senior SEC officials, and other events. Contact information is provided for additional information. Please note that all events are subject to change.
All times appearing below are listed in Eastern Time unless otherwise noted.
There are no events or hearings currently scheduled.
SEC Meetings and Other Events
All SEC open meetings and many other public events are webcast. A hyperlink to the webcast will be posted to SEC.gov shortly before the start of a meeting. Captioning is provided for these webcasts. Reasonable accommodations for persons with disabilities attending an event in person can be arranged by submitting a request to DisabilityProgramOfficer@SEC.gov at least three business days in advance.
SEC closed meetings are not open to the public.
Join The Securities and Exchange Commission for a virtual roundtable discussion with the Commission staff and FINRA about initial observations on Regulation Best Interest and Form CRS implementation.
The event will be webcast to the public on SEC.gov. Additionally, the webcast will be recorded and archived to enable viewing at a later date. Market participants and other members of the public may continue to send interpretive questions to the Commission’s Inter-Divisional Standards of Conduct Implementation Committee.
No registration or pre-registration is required.
Agenda
1:00 p.m. Opening Remarks
- Jay Clayton, Chairman, SEC
1:15 p.m. Panel One Regulation Best Interest – Issues and Observations
- John Polise, Associate Director, Broker-Dealer and Exchange Examination Program (BDX), Office of Compliance Inspections and Examinations (OCIE)
- Lourdes Gonzalez, Assistant Chief Counsel for Sales Practices, Division of Trading and Markets
- Rina Hussain, Assistant Director, BDX, OCIE
- Bill St. Louis, Senior Vice President, Member Supervision, FINRA
2:00 p.m. Panel Two: Form CRS – Issues and Observations
- Jim Reese, Chief Risk and Strategy Officer, OCIE
- Melissa Gainor, Assistant Director, Division of Investment Management
- Alicia Goldin, Senior Special Counsel, Division of Trading and Markets
- Jim Wrona, Vice President & Associate General Counsel, FINRA
2:45 p.m. Concluding Remarks
- Peter Driscoll, Director, Office of Compliance Inspections and Examinations
See:
U.S. Securities and Exchange Commission
100 F Street Northeast
Washington, DC 20549
United States
See:
U.S. Securities and Exchange Commission
100 F Street
Washington, DC 20549
United States
See:
Christian Broadbent, Senior Special Counsel, Angela Mokodean, Branch Chief, or Jay Williamson, Branch Chief, at (202) 551-6720, Division of Investment Management, Securities and Exchange Commission, 100 F Street NE, Washington DC 20549-3628
Public Appearances by Officials
SEC Enforcement Director Stephanie Avakian, along with several SEC senior staff, will participate in the virtual Securities Enforcement Forum 2020. See additional details.
Bruce Carton, bcarton@securitiesdocket.com
Join the SEC’s Atlanta and Los Angeles Regional Offices for a free virtual forum. The discussion panel features outstanding women entrepreneurs and investors of color from the Los Angeles and Atlanta regions, who will share their experiences in business, including their challenges and successes, and discuss ways to improve access to capital for minority and women entrepreneurs.
The discussion will be moderated by Julie Zelman Davis from The Office of the Advocate for Small Business Capital Formation. Panelists include:
- Sonya Kay Blake, president and CEO, The Valley Economic Alliance
- Marguerite Pressley Davis, business financial strategist, angel investor, and creator of Your Profit Playbook
- Tracy Gray, founder and managing partner, The 22 Fund
- Carolyn D. Pitt, Esq., founder and CEO, Film Connx
See the press release or the event flyer for more information.
Join us for a virtual panel discussion, where panelists will discuss topics ranging from investor access to private markets to the Commission’s recent proposal to improve the retail investor experience through modernized fund shareholder reports and disclosures.
Moderators: Sebastian Gomez Abero and Jessica McKinney, Office of the Advocate for Small Business Capital Formation
Panelists: Dalia Blass (Director of the Division of Investment Management); Teresa Nilsen (Hennessy Funds); and Mike Ryan (Hamilton Lane)
The virtual event is free and accessible to the public. Please register on Eventbrite.