Agenda: March 8, 2018, Meeting of the Securities and Exchange Commission Investor Advisory Committee

9:30—10:00 a.m.Welcome Remarks and Approval of Minutes of Previous Meeting
10:00—12:00 p.m.Discussion of Regulatory Approaches to Combat Retail Investor Fraud

  • R. Cromwell Coulson, President, Chief Executive Officer and Director, OTC Markets Group
  • Thomas Drogan, Senior Vice President and Deputy, Member Regulation’s Office of Sales Practice, FINRA
  • Sara Hanks, CEO, CrowdCheck, Inc.
  • Melissa Hodgman, Associate Director, Division of Enforcement, SEC
  • Christian Leuz, Joseph Sondheimer Professor of International Economics, Finance and Accounting, Booth School of Business, University of Chicago
  • Lori J. Schock, Director, Office of Investor Education and Advocacy, SEC
12:00—1:40 p.m.Lunch/Non-Public Administrative Session
1:40—2:00 p.m.Discussion Regarding Financial Support for Law School Clinics that Support Investors (which may include a Recommendation of the Committee as a Whole)
2:00—2:30 p.mDiscussion Regarding Dual-Class Share Structures (which may include a Recommendation of the Investor as Owner Subcommittee)
2:30—4:00 p.m.Discussion Regarding Efforts to Combat the Financial Exploitation of Vulnerable Adults

  • Gregory J. Dean, Senior Vice President of Government Affairs, FINRA
  • Mark LeDuc, Majority Chief Counsel, United States Senate Special Committee on Aging
  • Robert E. Roush, Director, Texas Consortium Geriatric Education Center
  • Judith M. Shaw, Maine Securities Administrator and Co-chair of the Maine Council for Elder Abuse Prevention
4:00—4:15 p.m.Subcommittee Reports
4:15 p.m.Adjourn