Section 911 of the Dodd-Frank Act established the new Investor Advisory Committee to advise the Commission 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 Dodd-Frank Act authorizes the committee to submit findings and recommendations for review and consideration by the Commission.
Procedures for Appointments to the Investor Advisory Committee
If you are interested in serving on the Investor Advisory Committee, please email a letter of interest with applicable information about your relevant experience here.
Committee Members
Officers
- Paul Mahoney, Interim Chairman
- David and Mary Harrison Distinguished Professor of Law
University of Virginia School of Law - Craig Goettsch, Secretary
- Director of Investor Education and Consumer Outreach
Iowa Insurance Division - Nancy LeaMond, Assistant Secretary
- Executive Vice President
Chief Advocacy and
Engagement Officer - Community, State and
National Affairs, AARP -
Members
- Cien Asoera
- Financial Advisor, Edward Jones
- Allison A. Bennington
- Former Partner and
Chief Global Affairs Officer
ValueAct Capital - Ted Daniels
- Founder and President
Society for Financial Education
and Professional Development - Rick Fleming
- Investor Advocate
U.S. Securities and
Exchange Commission - Elissa Germaine
- Professor, Elisabeth Haub School of Law at Pace University
Executive Director, John Jay Legal Services
Director, Investor Rights Clinic, at Elisabeth Haub School of Law at Pace University
- Satyam Khanna
- Resident Fellow, NYU School of Law Institute for Corporate Governance and Finance
- Lori Lucas
- President and CEO,
Employee Benefit Research Institute - Jennifer Marietta-Westberg
- Principal
Cornerstone Research - Christopher Mirabile
- Senior Managing Director and Board Member, Launchpad Venture Group
- Chair Emeritus, Angel Capital Association
- Mina Nguyen
- Managing Director
- Jane Street Capital
- Anne Simpson
- Interim Managing Investment Director,
- California Public Employees’ Retirement System
- Jerome Solomon
- Fixed-income Portfolio Manager
- Capital Group
- Heidi Stam
- Former Managing Director and General Counsel (Retired)
- Vanguard
- J.W. Verret
- Associate Professor of Law (with tenure)
- Antonin Scalia Law School, George Mason University and
Senior Scholar, Mercatus Center
See also: Subcommittee Members
Recommendations of the Investor Advisory Committee
Accounting and Financial Disclosure
SEC Guidance and Rule Proposals on Proxy Advisors and Shareholder Proposals
Exchange Rebate Tier Disclosure
Investment Research in a Post-MiFID II World
Human Capital Management Disclosure
Proposed Regulation Best Interest
Transaction Fee Pilot for NMS Stocks
Select Enhancements to Protect Retail Investors in Municipal and Corporate Bonds
Financial Support for Law School Clinics that Support Investors
On Dual Class and Other Entrenching Governance Structures in Public Companies
To Enhance Information for Bond Market Investors
Empowering Elders and Other Investors: Background Checks in the Financial Markets
Shortening the Trade Settlement Cycle in U.S. Financial Markets
Accredited Investor Definition
Impartiality in the Disclosure of Preliminary Voting Results
Legislation to Fund Investment Adviser Examinations
General Solicitation and Advertising
Other Actions
Investor as Owner Subcommittee Letter to FASB re: Corporate Income Taxes
Letter on Regulation S-K Concept Release and Disclosure Effectiveness