Agenda: December 7, 2017, Meeting of the Securities and Exchange Commission Investor Advisory Committee

9:00-9:30 a.m.Networking Session and Continental Breakfast
9:30-10:00 a.m.Welcome Remarks and Approval of Minutes of Previous Meeting
10:00-10:30 a.m.Discussion of a Recommendation of the Investor as Purchaser Subcommittee Regarding Electronic Delivery of Information to Retail Investors
10:30-12:00 p.m.Discussion Regarding Retail Investor Protections and Transparency in Municipal and Corporate Bond Markets

  • Lynnette Kelly, Executive Director, Municipal Securities Rulemaking Board
  • William F. Maxwell, Mary Jo Vaughn Rauscher Chair in Financial Investments, Edwin L. Cox School of Business, Southern Methodist University
  • Rebecca Olsen, Acting Director, Office of Municipal Securities, SEC
  • Randy Snook, Executive Vice President, Business Policies & Practices, SIFMA
12:00-1:30 p.m.Lunch/Non-Public Administrative Session
1:30-1:50 p.m.Discussion Regarding Cybersecurity Risk Disclosures (which may include a Recommendation of the Investor as Owner Subcommittee)
1:50-2:15 p.m.Discussion Regarding Dual-Class Share Structures (which may include a Recommendation of the Investor as Owner Subcommittee)
2:15-3:15 p.m.Discussion Regarding Retail Investor Disclosure: What Works, What Doesn’t, and Best Practices

  • Daylian M. Cain, Associate Professor of Management and Marketing, Yale School of Management
  • K. Jeremy Ko, Senior Financial Economist, Division of Economic and Risk Analysis, SEC
  • Lisa Lehmann, Executive Director of the U.S. Department of Veterans Affairs National Center for Ethics in Health Care and Associate Professor of Medicine at Harvard Medical School
  • Sunita Sah, John and Norma Balen Sesquicentennial Fellow and Assistant Professor of Management and Organizations, Samuel Curtis Johnson Graduate School of Management, Cornell University
3:15-3:30 p.m.Subcommittee Reports
3:30 p.m.Adjourn