SEC-NASAA-Georgia Secretary of State Joint Investor Roundtable

• Sunshine Act Notice
• The SEC is partnering with the North American Securities Administrators Association (NASAA) and Georgia Secretary of State for two joint investor roundtables. One will be hosted on March 27, 2024 at the University of North Georgia and the second will be on March 28, 2024 at Dalton State College.
• Webcast Archive (Part 1)
• Webcast Archive (Part 2)

These public roundtables will be an opportunity for investors, regulators, and members of the investment community to share their experiences with SEC staff and discuss topics that are important to them, such as securities fraud and feedback on SEC rulemaking. These events are designed to listen to investors and better understand their needs in future policy and practice. Questions may be submitted in advance to investorengagement@sec.gov.

See flyer for additional information.

AGENDA

Wednesday, March 27            University of North Georgia’s Cottrell College of Business

• [+] 10:00-10:45 a.m. | Investor Education & Advocacy Roundtable (Open to Students and the Public)

  Location: Don and Connie Cottrell Ballroom
  Hosted by Adam Anicich

  Discussion with Investor Advocate Cristina Martin Firvida and Georgia Securities Assistant Administrator Noula Zaharis, focused on investor education, small business ownership and capital formation, and diversity, equity, and inclusion considerations in investor advocacy.

  • Welcoming Remarks
    • Cristina Martin Firvida, Investor Advocate, SEC
    • Nekia Hackworth Jones, Director, SEC’s Atlanta Regional Office
  • Opening Remarks
    • Georgia Secretary of State Brad Raffensperger

  • Speakers

    • Robert Marchman, Senior Policy Advisor on Diversity and Inclusion, SEC Office of Minority and Women Inclusion
    • Dywane Hall, Financial Educator for Society for Financial Education and Professional Development and Financial Advisor at LPL Financial
    • Rajpal Sagoo, Managing Partner, Artha Investment Partners
    • Chris Nedza, Lead Entrepreneur-in-Residence, Georgia Tech’s Advanced Technology Development Center
    • Mike Lavender, JD, Associate Dean of Undergraduate Programs, University of North Georgia

• [+] 10:45-11:05 a.m. | Academic Presentation from UNG Students and Faculty

  Location: Don and Connie Cottrell Ballroom
  Hosted by Carla Anglin

  Designed to take a closer look at the needs of retail investors, these presentations will focus on issues surrounding rulemaking and policy, giving students and faculty an opportunity to share their perspectives with the SEC, NASAA, and the Georgia Securities Division.

  Panelists:

  • Dr. Ning Wang, Associate Professor of Finance, Presentation
  • Dr. Maryna Murdock, Professor of Finance
  • Luke Atwood, Junior, Finance and Accounting Major, CEO UNG Investment Club
  • Jonathan Howell, Senior, CEO Real Estate Club

• [+] 11:05-11:20 a.m. | Fireside Chat with Gurbir Grewal, Director of the SEC’s Division of Enforcement

  Location: Don and Connie Cottrell Ballroom

  This fireside chat will include a discussion of the Enforcement Division’s role in investor protection and Division priorities with respect to retail investors. 

  Moderated by Nekia Hackworth Jones

• [+] 11:20-11:45 a.m.  | Founders and Funders: A Panel Discussion on Capital Formation and Funding

  Location: Don and Connie Cottrell Ballroom

  In this session, small business owners and venture funders will discuss barriers to engaging in successful capital formation efforts, with a specific focus on investing in their own communities – many of which are underserved.

  Moderated by Dar’shun Kendrick, Georgia State Representative and Securities Attorney

  Panelists:

  • Bona Allen, Private Investor
  • Allyson Eman, CEO, Venture Atlanta (Virtual)
  • Diona Richards, Founder & CEO See Me Fund
  • H. Douglas Williams, Founder of Empowrd

• [+] 11:45-12:00 p.m. | Discussion on Investor Protection with the Securities Investor Protection Corporation and the Canadian Investor Protection Fund 

  Location: Don and Connie Cottrell Ballroom

  In this moderated fireside chat, the audience will hear from representatives from the Securities Investor Protection Corporation (SIPC) and the Canadian Investor Protection Fund (CIPF) on issues related to the protection of investors during periods of firm insolvency.

  Moderated by Cristina Martin Firvida, Investor Advocate, SEC

  Panelists:

  • Josephine Wang, President and CEO, Securities Investor Protection Corporation
  • Ilana Singer, Vice President and Corporate Secretary, Canadian Investor Protection Fund (Virtual)

• [+] 12:00-2:45 p.m. | Lunch and Chat

  Location: Cottrell Atrium
  
  Informal lunch for Investor Roundtable attendees with exhibition booths featuring:

  • U.S. Securities and Exchange Commission
  • Georgia Secretary of State’s Securities Division
  • Operation Hope (Teresa Muñoz)
  • Veterans of Foreign Wars (VFW) Department of Georgia (Dwayne Kilbourne)

• [+] 1:00-2:20 p.m. | Retail Investor & Fraud Prevention Roundtable (webcast on sec.gov)

  Location: Don and Connie Cottrell Ballroom
  
  Public roundtable with presentations/remarks from retail investors, investigators/regulators, and other market participants on topics related to retail investor experiences with securities and investor education initiatives.

  • Opening Remarks:
    • Cristina Martin Firvida, Investor Advocate, SEC
    • Claire McHenry, President, North American Securities Administrators Association (NASAA), and Deputy Director, Securities Bureau, Nebraska Department of Banking and Finance
    • Noula Zaharis, Assistant Commissioner of Securities, Georgia Secretary of State’s Office
    • Dr. Chaudron Gille, Provost and SVP for Academic Affairs
  • Welcome Remarks:
    • The Honorable Gary Gensler, Chair, SEC (Virtual)
    • The Honorable Mark T. Uyeda, Commissioner, SEC (Virtual)
  • Retail Investors
    • Robb Chapman, Retired Federal Employee
    • D. Stewart Swanson, UNG Foundation Board of Trustees, UNG College of Science & Mathematics STEM Advisory Board
    • Ellen Best, Associate Professor and Department Head, University of North Georgia
  • Kamila Elliott, Collective Wealth Partners CEO and Founder, Certified Financial Planner
  • Nicole Pietro, Chief Development Officer, Operation Hope
  • Military Investor Perspectives: Jennifer Coleman, Assistant Special Agent in Charge, Department of the Army Criminal Investigation Division (Army CID)

• [+] 2:20-2:40 p.m. | Academic Presentation from UNG Students and Faculty

  Location: Don and Connie Cottrell Ballroom

  Designed to take a closer look at the needs of retail investors, these presentations will focus on issues surrounding rulemaking and policy, giving students and faculty an opportunity to share their perspectives with the SEC, NASAA, and the Georgia Securities Division. 

  Moderated by Nekia Hackworth Jones

  Panelists:

  • Kurt Schulzke, JD, CPA, CFE, Professor of Accounting; Presentation
  • Abby Keener, Masters of Accountancy Student
  • Troy Harris, Masters of Accountancy Student
  • Dustin Ward, Senior, Accounting Major

• [+] 2:40-2:45 p.m. | Closing Remarks

  • The Honorable Caroline Crenshaw, Commissioner, SEC (Virtual) Cristina Martin Firvida, Investor Advocate, SEC
  • Cristina Martin Firvida, Investor Advocate, SEC

• [+] 2:50-4:15 p.m. | Discussions regarding Investment Fraud Prevention, Investor Education Resources, and Retail Investor Research (Open to the Public)

  Location: Don and Connie Cottrell Ballroom

  In this public session, the audience will hear financial education presentations from three of the country’s leading authorities. This interactive session will provide attendees with the knowledge to better understand the investing landscape and how to manage their money.

  Session Host: Carla Anglin

  • 2:50-3:35 PM |  GA SoS-Investment Fraud Panel
    Moderator: Noula Zaharis
    Panelists: Kamal Ghali, Ryan Germany, Kyle Innes,and Steve McClain
  • 3:35-3:55 PM  |  Lori Schock, Director, SEC’s Office of Investor Education and Advocacy
  • 3:55-4:15 PM  |  Gerri Walsh, President, FINRA Investor Education Foundation, and Senior Vice President, Investor Education, FINRA

• [+] 2:50-4:15 p.m. | Law Enforcement/Regulators Only: Discussions regarding Retail Investor Fraud Trends and Case Studies (Non-Public/Confidential)

  Discussion with stakeholders, including the US Attorney’s Office, FBI, Army CID, and others that focus on specific retail investor issues and regulator-to-regulator topics.

• 4:30 p.m. | Adjourn/Depart UNG

Thursday, March 28               Dalton State College’s C. Lamar and Ann Wright School of Business

• [+] 10:00-11:10 a.m. | Investor Education & Advocacy Roundtable (Open to Public)

  Location: Goodroe Auditorium
  Hosted by Adam Anicich

  Discussion with Commissioner Hester Peirce, Investor Advocate Cristina Martin Firvida, and Georgia Securities Assistant Administrator Noula Zaharis focused on investor education, small business ownership and capital formation, and diversity, equity, and inclusion considerations in investor advocacy.
  
  Brief Opening Remarks

  • The Honorable Hester M. Peirce, Commissioner, U.S. Securities and Exchange Commission
  • Dr. John M. Fuchko III, President, Dalton State College

  Discussions/Presentations

  • Saba Qamar, PCAOB Investor Advocate (Virtual)
  • Public Investor Advocate Bar Association (PIABA)
    • Joe Peiffer, PIABA President
    • Attorney Jason Doss, PIABA Foundation
    • Jennifer Shaw, Executive Director
  • Dywane Hall, Financial Educator for the Society of Financial Education and Professional Development, and Financial Advisor at LPL Financial
  • Nicole Pietro, Chief Development Officer, Operation Hope
  • Kamila Elliott, Collective Wealth Partners CEO and Founder, Certified Financial Planner
  • Randy Russell, CFP, Senior Financial Advisor, Corebridge Financial
  • James Young, Retail Investor

• [+] 11:10-11:25 a.m. | Discussion on Investor Protection with the Securities Investor Protection Corporation and the Canadian Investor Protection Fund

  Location: Goodroe Auditorium
  Hosted by Carla Anglin

  In this moderated fireside chat, the audience will hear from representatives from the Securities Investor Protection Corporation (SIPC) and the Canadian Investor Protection Fund (CIPF) on issues related to the protection of investors during periods of firm insolvency.

  Moderated by Cristina Martin Firvida, Investor Advocate, SEC

  Panelists:

  • Josephine Wang, President and CEO, Securities Investor Protection Corporation
  • Ilana Singer, Vice President and Corporate Secretary, Canadian Investor Protection Fund (Virtual)

• [+] 11:25-11:45 a.m. | Academic Presentation from Dalton State College Students and Faculty

  Location: Goodroe Auditorium
  Session Host: Nekia Hackworth Jones
  
  Designed to take a closer look at the needs of retail investors, these presentations will focus on issues surrounding rulemaking and policy, giving students and faculty an opportunity to share their perspectives with the SEC, NASAA, and the Georgia Securities Division.

  Team Crypto

  Leader: Bryson Cornelison
  Members: Ian Lazo, Hector Perez, Jett Harrison, Chris Knox

• [+] 12:00-12:45 p.m. | Lunch and Chat

  Location: Business Hub 101 Room A/B

  Informal lunch for Investor Roundtable attendees

  With exhibition booths featuring:

  • U.S. Securities and Exchange Commission
  • Georgia Secretary of State’s Securities Division
  • Operation Hope (Teresa Muñoz and Shannele McBride, Small Business & Financial Wellbeing Coach, Operation HOPE)
  • Veterans of Foreign Wars (VFW) Department of Georgia (Dwayne Kilbourne)

• [+] 1:00-2:20 p.m. | Retail Investor & Fraud Prevention Roundtable (webcast on sec.gov)

  Location: Goodroe Auditorium
  Hosted by Adam Anicich

  Public roundtable with presentations/remarks from retail investors, investigators/regulators, and other market participants on topics related to retail investor experiences/issues with securities and investor education initiatives.

  Opening Remarks

  • Cristina Martin Firvida, Investor Advocate, SEC
  • Nekia Hackworth Jones, Director, SEC Atlanta Regional Office
  • Claire McHenry, President, North American Securities Administrators Association (NASAA), and Deputy Director, Securities Bureau, Nebraska Department of Banking and Finance
  • Noula Zaharis, Assistant Commissioner of Securities, Georgia Secretary of State’s Office

  Welcome Remarks

  • The Honorable Gary Gensler, Chair, SEC (Virtual)
  • The Honorable Jaime Lizárraga, Commissioner, SEC (Virtual)

  Teachers Retirement System of Georgia (TRSGA)

  • Winston Buckley, Director of Communications and Outreach
  • Anita Vichare, Communications Specialist
  • TRSGA Fraud Prevention Resources

  Georgia Fraud Investigations

  • Lynn McKeel, Enforcement Attorney, Georgia Securities Division
    • State Investigations
    • Emerging Trends and Hot Topics in Enforcement
  • Mark Fellows, Division of Aging Services, Georgia Department of Human Services
    • Older Investor Topics​​

  Retail Investors, including those from minority and underserved populations

• [+] 2:20-2:40 p.m. | Academic Presentation from Dalton State College Students and Faculty

  Location: Goodroe Auditorium
  Hosted by  Carla Anglin

  Designed to take a closer look at the needs of retail investors, these presentations will focus on issues surrounding rulemaking and policy, giving students and faculty an opportunity to share their perspectives with the SEC, NASAA, and the Georgia Securities Division.

  Team AI

  Leader: Isaac Lacle
  Members: : Lexie Walker, JuanPablo Gomez, Hector Gutierrez

• [+] 2:45 p.m. | Closing Remarks

  • Nekia Hackworth Jones, Director, SEC Atlanta Regional Office
  • Claire McHenry, President, North American Securities Administrators Association (NASAA); and Deputy Director, Securities Bureau, Nebraska Department of Banking and Finance

• [+] 2:50-4:15 p.m. | Discussions regarding Investment Fraud Prevention, Investor Education Resources, and Retail Investor Research (Open to the Public)

  Location: Goodroe Auditorium
  Session Host: Carla Anglin

  In this session open to the public, the audience will hear financial education presentations from three of the country’s leading authorities. This interactive session will provide attendees with the knowledge to better understand the investing landscape and how to manage their money.

  • 2:50-3:35 p.m.: GA SoS-Investment Fraud
    • Panelists: Kamal Ghali, Ryan Germany, and Kyle Innes
  • 3:35-3:55 p.m.: Lori Schock, Director, SEC Office of Investor Education and Advocacy
  • 3:55-4:15 p.m. Gerri Walsh, President, FINRA Investor Education Foundation, and Senior Vice President, Investor Education, FINRA

• 4:30 p.m. | Adjourn/Depart Dalton State