SEC Announces Agenda for March 8 Investor Advisory Committee Meeting

The Securities and Exchange Commission today announced the agenda for the March 8 meeting of its Investor Advisory Committee. The meeting will begin at 9:30 a.m. in the Multipurpose Room at SEC headquarters at 100 F Street, NE, Washington, D.C. and is open to the public.  The meeting will be webcast live and archived on the committee’s website for later viewing.

The committee will hold two panel discussions with outside speakers:  a morning session on regulatory approaches to combat retail investor fraud, and an afternoon session on efforts to prevent the financial exploitation of vulnerable adults.  In addition, the committee will discuss two other topics: dual-class share structures, and financial support for law school clinics that support investors.  These latter two discussions may include possible recommendations.

The committee welcomes new members Jennifer Marietta-Westberg, Senior Economist at Cornerstone Research, and Heidi Stam, a former Managing Director and General Counsel (Retired) at Vanguard. Members of the committee represent a wide variety of investor interests, including those of individual and institutional investors, senior citizens, and state securities commissions.  For a full list of committee members, see the committee’s webpage.

The Investor Advisory Committee was established to advise the SEC 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 Committee is authorized to submit findings and recommendations to the Commission.