Agenda: June 14, 2018, Meeting of the Securities and Exchange Commission Investor Advisory Committee

8:30-9:00 a.m.Welcome Remarks and Approval of Minutes of Previous Meeting
9:00-10:30 a.m.Discussion of the Commission’s Proposed Regulation Best Interest and Proposed Restriction on the Use of Certain Names or Titles

  • James Allen, Head, Capital Markets Policy for the Americas, CFA Institute
  • Karen Barr, President & Chief Executive Officer, Investment Adviser Association
  • Ira Hammerman, Executive Vice President and General Counsel, SIFMA
  • Micah Hauptman, Financial Services Counsel, Consumer Federation of America
  • Maureen Thompson, Vice President for Public Policy, CFP Board of Standards
10:30-10:45 a.m.Break
10:45-12:15 p.m.Discussion Regarding the Commission’s Proposed Form CRS Relationship Summary, including Effective Disclosure and Design

  • Dale Brown, President & CEO, Financial Services Institute
  • Joe Carberry, Senior Vice President of Corporate Communications, Charles Schwab & Co., Inc.
  • David Certner, Legislative Counsel and Director of Legislative Policy for Government Affairs, AARP
  • Susan Kleimann, Founder and President, Kleimann Communication Group, Inc.
12:15-1:30 p.m.Lunch/Non-Public Administrative Session
1:30-2:00 p.m.Discussion Regarding Disclosure Enhancements for Municipal and Corporate Bonds (which may include a Recommendation of the Market Structure Subcommittee)
2:00-2:15 p.m.Subcommittee Reports
2:15 p.m.Adjourn