Securities and Exchange Commission Chairman Jay Clayton is inviting Main Street investors from around the country to ‘Tell Us’ about their investor experience through roundtable discussions in several cities. In these roundtables, Main Street investors will be able to speak directly with Chairman Jay Clayton and/or senior SEC staff about our efforts to enhance retail investor protection and promote choice and access to a variety of investment services and products.
Already, roundtable discussions about a recently proposed rule regarding the obligations of financial professionals to investors have taken place in Houston and Atlanta. The next roundtables will take place in July in Miami, Washington, D.C., Philadelphia, and Denver. Details about the upcoming investor roundtables, including dates, times, and RSVP information, can be found below. Attendees should be retail investors who work with a financial professional and have no affiliation with the financial services industry. Please note that space is limited.
Location: The University of Miami, Founders Hall, 1550 Brescia Ave., Coral Gables, FL 33146
Time: 2:00 PM-3:30 PM (EDT)
RSVP: Angela Cruz at axi204@miami.edu or at (305) 284-6554
Location: U.S. Securities and Exchange Commission, 100 F St., NE, Room 10000, Washington, DC 20549
Time: 10:30 AM-11:30 AM (EDT)
RSVP: Suzanne McGovern at at outreach@sec.gov or at 202-551-6459
Location: U.S. Securities and Exchange Commission, Philadelphia Regional Office, 1617 John F Kennedy Blvd., Suite 520, Philadelphia, PA 19103
Time: 11:00 AM-12:00 PM (EDT)
RSVP: Suzanne McGovern at at outreach@sec.gov or at 202-551-6459
Location:U.S. Securities and Exchange Commission, Denver Regional Office, Byron G. Rogers Federal Building,11961 Stout St., Suite 1700, Denver, CO 80294-1961
Time: 10:00 AM-11:30 (EDT)
RSVP: Suzanne McGovern at at outreach@sec.gov or at 202-551-6459
Please note: some roundtables will take place in SEC buildings. To gain entry into these buildings, please bring a valid driver’s license or other government-issued photo identification. The security process includes placing bags, phones, and other items through X-ray equipment. It is advisable to arrive 20 minutes before the start of the roundtable in order to go through security.
Unable to attend a rountable? Follow the link below to share your insights with the SEC.
Our proposed rules are intended to match our rules with investor expectations and it is crucial that we hear directly from the investors themselves on how we can best ensure that result.
Chairman Jay Clayton
Modified: April 6, 2023
